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Settlement Client User Manual

1. ccccccsssessseeccccsenesseess 205 Message Subscription Rules ccccccssesssceccccseensseees 215 Search AllegemMentS wicisisshesncdisscesisticivsieenaaelielonts 178 seare ANS UCO e aE O wh Deavante 118 Search Intra Position Movements cccccsseseceeeeeeeeees 160 Search Message SUDSCHIPtion cccccccccsssseseeceeceeneees 202 Secures POSIUONS ceneni aneio ie E e 186 Securities Posting Items sinstassssecioasssaarecsasmaumasesaenesease 190 Securities Account Client of the Receiving Delivering Party Create 1 NSUUCU ON aseleuissc tesserae ea aciaesa os 84 Securities Account Receiving Delivering Party Greate IN SUUGT ON ierra e ahcucrsuan sued E EA 81 Securities Settlement Transaction Generation Notification Message Subscription Rules ccccccssesssceccccseessseees 218 Sequential Number Linkages esseeennssssseeenssssseeerssss 93 Settled Amount Create INSU UCU ON oant a a 70 Settled Quantity Croate TSE UGH ON esi hintaan ners EE NE 68 Create Intra POsition MOVEMENT ccsssccceseeseeceeeesees 136 Settlement Amount Great INSITUCTON Sreema n a e eaer 68 Settlement Amount Currency CGr ate INStruUcCtOM eir eese i t a a 69 Search AHOZEMONES seesscecccccssnsssceccccsacesssesccceseeees 175 Search Instruction esssesesesesesesersrsesesesosesersrsrsesese 115 Settlement Amount from Search AllegemMentS isiccciecsdescissscescussedsssideceunevssdeacdeans 175 Search INSTrUCUO
2. cccccccccccccceeeeees 22 Generate CP Instruction cccssccccsssssccccessscccceeeees 168 green bullseye with tick ccccccssssssccccccsssssssceeeseseees 19 OY meN 15 H hide update button ssssssesssscsssssscsssssescesscsseosssvssscsossssessoeses 17 Hold Default field Securities Account Details Screen essssssseeessseeessseeesss 30 HOM Ercan 23 CSD GmbH EON oeer E gaeseasesasuec neat ca sueaseessaiaieen 19 icon TR ce ET A E TA T eiasn te aan TA AEEA 15 A with arrow pointing GOWN ccccssseeeeccecceseseeeeeeeeeeees 20 A with arrow pointing Up sssssseessssssseeesssssseeressssseeeesssss 20 P EEE N onic A E E E AE E 20 angle bracket with pen seesesssssseeeessssseecessssseeseessssseee 22 arrow between horizontal lines sesesecceeeeeeeeeeeeees 20 arrow pointing down between horizontal lines 20 arrow pointing up with line ON top eeeeececeeeesseeeeeeees 20 arrow with double line ON top ccccseseseeeceeeeeeeeeeeeeeees 20 NNO EA P EAE AN EAEE EA ESET 20 21 Diro with angle DrACK Gls secuwusiearecsawesevwrenemmurevicenseanens 22 OX WIT E OK Sess 20 Duller OILS seasca E 21 EEE E E rss see EEN EEI PEEN A ENNA AE N 19 TANS E E E T E E E 20 GUS OGY E E E ET E nets 20 double line with arrow pointing UP ccccccceeesseeeeeeees 20 CNS IOK es E tenes 20 O costed axiaseaesense one 3nesasesneeamnadenetabosscetnost 21 Generate Counter Ins
3. sssssseessssseeeersssseeeersssssecersssss 185 Include Nil Securities PositionS nsssseeeenssssseeeessss 186 SIN eae a E E EES 184 Pan BIO ara NTE 185 SECUMEIES ACCOUNT sissa e e N 186 securities positions inquiry PVAS IN ern EAN a A E A 183 by securities ACCOUNL ccccccssssseeecccceeessseecceeseeessees 184 Securities Positions menu item esssssssssssssssssssssse 181 Securities Posting Items escccssssesccccsssseccecsssseeeeoses 187 Securities Posting Items fields CUTPONCY aandaa E AA 190 Date MO e N E sarees sunssumstal cases 191 DITEN Oa T myeneamaneeneasenes 191 Deseripion ISIN ecru eicare a A 189 Description Party BIC ssssseeesssssseeersssseecersssseecersssss 190 Inel ANESSMEMES sirra N aes 192 NAG TITEL CIC danan eyes sivauep cue sstcseveswueannonones 192 TSUN hestence satan vias icecdelass a cadstensosbatsss Galt adalah deck sacs 189 Entries T T GF EYE aI ac ys ents cyan E A bn den E 189 PUG DOSE naceacecnscnncennecscnebusdeacemnesiesthusseccehmesucsobaduacomestens 191 Securities Account secctccssnsstausdunsheutsnnnecededestewsieendaceanuxeene 190 MONE ONN saeara r va canreoiecumnenweanieauss 192 SUr U eraann E 193 Securities Posting Items menu item ccccceeeees 187 Securities Settlement Transaction Generation Notification field Message Subscription Rule SCreen sssseeeeeeeeeeees 218 Sequential Number field Create Instruction screen LINKAGE
4. ccc0008 159 IOUS N E E E S 15 OVE EE E AAE E OEN 15 CNE AIO roi n EE A E EON 16 VATS WEG ME E E E E ETT 16 disabled TCI wsccvpase lt sncpcaesdeebnsuvagencaerecebaderaiedcaesdiedeasveseciess 15 display field avcssssserencswsedisnntiavanctdveienaedievencvatieNtssntionennvedesess 15 drop down field ccsssesccccccessssecccccceeesseecccesseesseeecees 16 TY e PETEA E P T ENN E E E ET 15 IV OULEATLOl Gl ET 15 N o on secs ausssteaduernieniusees 15 AUDA TG ne prctcvsce statuses tance E eaten oceans 15 Four Eyes PrinGiple sorina 37 226 Four Eyes Principle fields Create cl prc 1c cane ne Oe a 228 Description Sec Acc Number cccccssessseeeeeeeeees 228 DRP A A E 229 TE i sees A E E E sone TO E O E 229 I Ve a E E 229 FEY 1S E E A EA 228 Intra Position Movement cesseccccessecccceesececeeeecees 228 PFD Credit sciccssestancwsesdadtaaevsencssendetionepiendecertewsorestoceuentes 229 PFD Depi ucsaniin a eesaecanteonecdesoueccon 229 FIN SIC A a A E E TE A E E E E E A E 228 RPE n se sages desian ees asus esse secee teens 228 EA A esac EEA E von suas eas E E EN E T ines 229 FR A IAE EE OEE EEE EEEE E E A I TE E A EE EE 229 Sec Ace NUMDE cisecisiisisiieit aaa 228 function link EET EPEE EA E PEE ETE EA toss A A ieee 22 TPO a cote coated seesanccutenp cacneessecosaanec canes ntcaotesputeneesanecss 22 G Generate Counter Instruction ccssccccssssscccceeeees 168 Generate Counter Instruction ICOM
5. One comma per field as decimal comma NOTE When entering numbers please note that the number format used in the Settlement Client is the German notation of numbers i e a full stop is used as the thousands separator and a comma is used as the decimal point You have the option to enter amounts unformatted without a thousands separator or formatted with a thousands separator The system validates the field entries e g when you proceed to the next step in a Create screen and adds any thousands separators Depending on the field the figure is either displayed with or without decimal places In ISIN fields you can enter the 12 digit International Securities Identification Number e g ATO000720008 There is an auto complete function available in the ISIN field You need only enter the country code the system will then suggest a list of available ISIN Only the following characters are allowed in date fields The figures O to 9 Dots as separators between day month and year The entry is restricted to 8 numbers and 2 dot characters You may enter single digit days and months without the leading zero and only the last two digits of the year A dot is required as a separator between day month and year The date is always displayed in the format DD MM YYYY The Settlement Client Element Drop down field please select Z Buttons Check box m r abort add approve back cancel Usage
6. 38 Settlement Instructions CSD GmbH How to Enter the Instruction Details of a New Settlement Instruction Step by Step 1 In the menu bar select Settlement gt Create Settlement Instruction The Create Settlement Instruction screen appears 2 In the field Instruction Type select the instruction type The system activates the fields relevant for the selected instruction type and in some fields allocates the appropriate entries available for selection The system automatically inserts the appropriate predefined values into the fields INFO INFO You Transaction Type TRAD Instructing Party BIC inputting party incl Description Securities Account default securities account of the inputting party incl Description The field Securities Account additionally displays the BIC of the securities account holder Cash Account default cash account for the settlement amount currency The field Cash Account is not displayed in the screen for the instruction types Free of Payment DFP RFP Settlement Quantity 0 000 Settlement Amount 0 00 Settlement Amount Currency EUR Trade Date current date Intended Settlement Date trade date 2 bank days Party Hold Status as specified in the securities account master data CSD Hold Status released may modify these values wherever necessary Please note however that some fields only allow changes within the limits of the predefined master data For
7. If the reason code in an instruction is Disagreement Settlement Amount the message will be received If the reason code in an instruction is Disagreement Quantity the message will be received If the reason code in an instruction is Unrecognised or Invalid Financial Instrument Identification the message will be received If the reason code in an instruction is Disagreement Trade Date the mes sage will be received If the reason code in an instruction is Awaiting Settlement Date the mes sage will be received If the reason code in an instruction is Disagreement Delivering Receiving Agent the message will be received If the reason code in an instruction is Receiving or Delivering Custodian Rejection the message will be received If the reason code in an instruction is Incomplete Number Count the mes sage will be received If the reason code in an instruction is Invalid Balance the message will be received If the reason code in an instruction is Invalid Link the message will be re ceived If the reason code in an instruction is Invalid Lot Number the message will be received If the reason code in an instruction is Lack of Securities in Account the message will be received If the reason code in an instruction is Market Deadline Missed the message will be received If the reason code in an instruction is Pending Linked Instruction the mes sage will be received If the reason code in an instruction
8. ccesesccccsssscccccsssccccessssccceassececeaesces 19 Incl Allegements field Cash Preview SCION csccccssssssseeccccseeessseecccsseeassees 198 Securities Posting Items SCrEEN cccsseeeeeceeceeeeeeeees 192 Incl Unmatched field 183 OQ Entries L M Cash Preview SCOE sicvssiacoacesveciibselacadees an 197 Incl Unmatched field Securities Posting Items screen csssseeececeeeeeeees 192 Include Nil Securities Positions field SECUPITIES POSItIONS nirearen NRTA 186 information DOK essanennna aa R 11 information CY POS sieer 11 put field sanaaa anaa aa 15 impu tfield disabled yis 15 Instructing Party BIC field Create Instruction Screen csccccccesseccceeseccceeenecceeees 63 Create Intra Position Movement screen s0eccceees 132 Message Subscription Rule screen 216 222 Search Instruction screen cscccccsesscccceseccceeeseeceeees 117 Search Intra Position Movements SCreen cccee0 159 Search Message Subscription SCrE N cccccceeseeeeees 203 instruction GAIN EAA OAE as ga esac nos O NE E 104 E1 NA EEE AAT AE A N EA E RI 99 TATE p AT TEE E A O Seen ns E A E E 47 Additional Inlormatlo Mn aessa iene ieee 52 MSTUCUon PEIS oaia a ia AROEN AA E 47 LKA OS a ARN 56 REST CUIONS a aa n e cea eee 55 Settlement Instruction SUMIMALY ccccccssesssceccccseeesseees 54 SCULICMOENCPGTUECS mironi hana A EA 50 USC OF OSUICHONS orir EE E
9. lt nsAH Fild gt Figure 52 Instruction History intra position movement message detail 5 2 7 Status History Intra Position Movement The Status History in the detail view of an intra position movement shows the detailed sequence of status modifications applied to the specific intra position movement NOTE lt is not possible to edit entries in the Status History Intra Position Movement Details Instruction Data Instruction History Status History Begin Time End Time Status Type Status Status Reason Additional Information 26 05 2015 17 36 09 000 Processing Status Accepted NORE NORE edit Figure 53 Status History Intra Position Movement 5 2 8 Field Descriptions Search Intra Position Movements The description of the fields in the Search Intra Position Movements screen is sectioned in two parts i e the two drop down screen sections Search this section is displayed when the screen is opened for the first time fig 46 OeKB CSD Status Criteria fig 47 12S Status Criteria fig 48 TIP The system records the screen sections displayed and the search screen appears in the same way when you open it the next time 112 Intra Position Movements 5 2 8 1 Search Screen Section Field Content by system Reference Customer Reference Restriction References Period Intended Settlement Date from to Effective Settlement Date from to Criteria ISIN Auto Complete After input
10. 72 75 79 80 82 82 83 83 88 88 90 90 92 92 93 95 97 98 98 103 104 106 107 109 111 111 112 112 113 117 118 119 120 120 122 122 123 127 127 128 128 Content 11 12 13 8 1 1 Displaying Securities Positions by Financial Instrument ISIN 8 1 2 Displaying Securities Positions by Securities Account 8 1 3 Field Descriptions Securities Positions 8 2 Securities Posting Items 8 2 1 Displaying Securities Posting Items 8 2 2 Colour Codes of the Search Result List 8 2 3 Field Descriptions Securities Posting Items 8 3 Search Cash Preview 8 3 1 Displaying the Cash Balance 8 3 2 Field Descriptions Search Cash Preview Message Subscription 9 1 Search Message Subscription 9 1 1 Modifying a Message Subscription 9 1 2 Field Descriptions Search Message Subscription 9 1 3 Field Descriptions Edit Message Subscription 9 2 Message Subscription Rules 9 2 1 Modifying a Message Subscription Rule 9 2 2 Deleting a Message Subscription Rule 9 2 3 Adding a New Message Subscription Rule 9 2 4 Field Descriptions Message Subscription Rule 9 2 4 1 Settlement Instruction Rule Type 9 2 4 2 Intra Position Movement Rule Type 9 2 4 3 Allegement Rule Type Four Eyes Principle 10 1 Edit Four Eyes Principle 10 1 1 Specifying Four Eyes Principle Settings 10 1 2 Field Descriptions Edit Four Eyes Principle Billing Reporting User Roles and User Permissions 13 1 Settlemen
11. 81 Entries D D Description BIC Depository of the Delivering Receiving EGIL ea saconueleialendauediaset use E S 79 Description Instructing Party BIC cc eeeeeeceeeeeeees 64 Description ISIN cossssusceassvancanesesasesrescatueaincnierareeaennd sevens 67 Description Reference Owner BIC Linkages 96 Description Securities ACCOUNT cccccssssssseeeceeseees 65 Description Securities Account Receiving Delivering FAN LY E E E A EEA 82 Effective Settlement Date ccsssssecccceseessseeeeeeeeees 7 1 field next to Settlement Quantity ec eeeeeeeeeeeeeees 68 INSENUGTING Party BIC scsciessesssnceisavavsaredetnraesargvausinasvousacers 63 Instruction TY DG iascvancsavenensdavenetanevincrsterencewsedtsantievenerasesene 61 Intended Settlement Date ccsssseccccecesssseeeeeeseees 7 1 USAIN soars sors sedge oatge sere E E E A E E wed rene sees 66 Linkage Type LINKASES cccccccsssssseeeccccceessseeeceseeees 94 EE E e e E A PE T AE NEE E A E 91 Mat E o pct act aseeet cue eeteeaeecn eesen eecemateae 74 Matching Reference sssssseeeesssssseceessssseecessssseeeeessssseee 63 IIT EE E E A E E E N TA E AS 62 Name and Address ssscicsssssossensvsecsnnensssannsesdonesaseserea nesses 84 Narrative Trade Details wsississcasnesseeasavvcuvevswassesunweonvavanasceees 90 Jpt out indicato ssgerraria 89 Partial Settlement Ind sscdsrsncadenaveoactarvasavisarn
12. Customer Ref Settl Date ISIN Quantity Status 18 06 7015 ATOOOOEDORN0 1 000 UNIT Accepted 08 06 2015 ATOOOOEO0RN0 1 000 UNIT Accepted 18 06 2015 2 000 Ubs a Figure 49 Search Intra Position Movement search result list 104 Intra Position Movements CSD GmbH Edit Intra Position Movement Instruction Data Instruction History Status History reset Customer Reference 20150608RIG1622 MITI 0215000218501000 Instructing Party BIC 1eme O Description Securities Account Description ISIN ATO000800800 Description PANKL RACING SHS Settlement Quantity 1 000 UNIT Settled Quantity 0 000 Intended Settlement Date 08 06 2015 Ez Effective Settlement Date Priority wa o O Restr Type Balance from AWAS Deliverable Securities Position Restriction Reference please select Restr Type Balance to BLO1 Case 3 position blocking Restriction Reference please select Linkages Sequential Number Total Number Linkage Type Reference Owner BIC Customer Reference MITI Sub Balance Reference Pool ID add cave Figure 50 Edit Intra Position Movement How to Modify an Intra Position Movement Step by Step 1 In the menu bar select Settlement gt Search Intra Position Movements The Search Intra Position Movements screen appears The system automatically inserts the appropriate predefined values into the fields Instructing Party BIC inputting party Securities Account all Restr Type Balance f
13. The Settlement Client 3 4 4 4 Instruction Alerts You can use the task box link below Instruction Alerts to open the search result list showing current notifications Instruction Alerts for instructions with status Hold or Pending 125 Status Criteri Party Hold Status au F CSD Hold status CSD Validation Hold CoSD Hold Status Status Processing Status all Pending Reason Codes CLAC CMON LACK MONY Match Status gt Settlement Parties 7 More Criteria E Instruction Type DWP BVP OWP DVP search 10 1 Customer Reference Settlement Date ISIN H Quantity Currency Amount i Status 4D141009014u001 30 12 2014 AToOOOO720008 1 000 EUR 17 412 56 Pending GRA141209014a035 30 12 2015 ATOOOO720008 1 000 EUR 17 412 56 Pending GRA141209014a038 30 12 2015 ATO000720008 1 000 EUR 17 412 56 Pending GRA141209014a029 30 12 2015 AToOOOO720008 1 000 EUR 17 412 56 Pending GRA141209014a030 a AT0000720008 EUR 17 412 NO Figure 15 Current alerts to instructions in the search result list Instruction Alerts Alert Reason Party Hold Description The instruction was set to status Hold because e g the external part of settlement of the transaction had not been completed or because the instruction had been sent as a preadvice How to Process Instructions with Status Hold or Pending Step by Step 32 1 You have the following options a In the row of the record you want to modify click on the Details ico
14. Value in EUR ATOOOOADU3T4 MENEE E 165 00 Figure 60 Securities Positions links to subbalances Subbalances Restriction Reference i Restriction Type EEUR EGBP EXAA OQ Figure 61 Securities Positions subbalances pop up dialog 12 9 Holdings 8 1 1 Displaying Securities Positions by Financial Instrument ISIN With the securities position enquiry by ISIN you can enter an ISIN to find out which securities accounts hold positions of this financial instrument where OeKB CSD is holding the securities for you and whether these positions are avail able earmarked blocked or reserved How to Display the Securities Positions of a Financial Instrument by Entering its ISIN Step by Step 1 In the menu bar select Holdings gt Securities Positions The Securities Positions screen appears The system automatically inserts the appropriate predefined values into the fields Party BIC enquiring party incl Description Securities Account all 2 In the field ISIN enter the desired financial instrument In the field Description the system automatically completes the details stored for the selected financial instrument TIP There is an auto complete function available in the ISIN field You need only enter the country code the system will then suggest a list of available ISIN 3 Click on the search button The search result list containing all instructions matching your search criteria appears 4 You
15. cccccccsseessseeccccseesseess 205 Message Subscription Rules cccccccesssssesccccenaeseeeees 215 Search Message SUDSCHrIPtion ccccccccccsssseseeccceeeanees 203 DFP Four EYS PrNCIPlE sesiet a 229 CIS AIDS CTC IC aoa a a Sel oan Sadana O 15 GIS DIA TEIT ac cxucoouesttoccen A meer A 15 drop down Nelda rece ese A E se 16 DVP Four Eyes FINGI O rre A A AAA 229 DWP FOUP Eyes PIINCIPIE aisteora ar aa A eee 229 Effective Settlement Date Create IASruUC UON aoea a EEA E S 71 Create Intra Position MOVEMENT cccccccsssssssecceees 137 Effective Settlement Date from Search Instruction seivectins tedcossadeeasccdedan Mince sti dsdesasaens 111 Search Intra Position Movements cccccceeeeseeesesenees 156 Effective Settlement Date to Search Instruction os snide deccenttoinnlteds Sina lipiveaevessstaantossees 111 Search Intra Position Movements cccccsssseceeeeeeeeees 156 Erase FOUP EVES PHICIOIC ri e AA 228 Externally Matched Search IAS UCU OI adic nade ee nE A ein AAA 124 Hold Default Securities ACCOUNT Detallls ccccccsesseccceeseccceensecceeees 30 Incl Allegements CaS PIV OW inian T iaa 198 Securities Postna TICS orere enn oe aTeo R 192 Incl Unmatched CASN OV CW eirates rarekin ride iE eN ORE OES EAEri 197 Incl Unmatched Securities Posting ITCINS ccccccsssessscecccccsesssescccesneees 192 Include Nil Securities Positions Secunties POSIUONS rerlenn nna a weeds 186 HOUTE IO a a E E
16. 141 Message Subscription Search Message Subscription Search Party BIC OEKOATWNDOR Securities Account at instructing Partysic OOOO O esiaine OOOO y OS Open Message Types Notifications Securities Settlement Transaction Generation Notification MT548 sese 032 Allegement Notification MT578 sese 028 Status Advices Transaction Status Advice MT548 sese 024 Cancellation Status Advice MT548 sese 027 Modification Status Advice MT548 sese 031 Intra Position Movement Status Advice MT548 semt 014 Allegement Removal Advice MT578 sese 029 Allegement Cancellation Advice MT578 semt 020 a aaa Confirmations Transaction Confirmation MT544 MT545 MT546 MT547 5 5e 025 Intra Position Movement Confirmation MT508 semt 015 Instruction Types Receive Free of Payment Confirmation Receive versus Payment Confirmation Deliver Free of Payment Confirmation Deliver versus Payment Confirmation Receive with Payment Confirmation Deliver with Payment Confirmation Payment Free of Delivery Credit Confirmation Payment Free of Delivery Debit Confirmation a SEIS S SS SS search Figure 67 Search Message Subscription Open Message Types 9 1 1 Modifying a Message Subscription To modify a message subscription for a specific securities account you need to search for the message subscription you are looking for Then you can use the Edit screen to make the desired changes Open Meza search 10 Part
17. 4 2 6 Field Descriptions Search Settlement Instructions 4 2 6 1 Search Screen Section 4 2 6 2 OeKB CSD Status Criteria 4 2 6 3 T2S Status Criteria Screen Section 4 2 6 4 Settlement Parties Screen Section 4 2 6 5 More Criteria Screen Section Intra Position Movements 5 1 Create Intra Position Movement 5 1 1 Blocking a Securities Position 5 1 2 Reserving a Securities Position 5 1 3 Earmarking a Securities Position 5 1 4 Entering Linkages for an Intra Position Movement 5 1 5 Field Descriptions Create Intra Position Movement 5 2 Search Intra Position Movements 5 2 1 Modifying Intra Position Movements 5 2 2 Modifying Linkages for an Intra Position Movement 5 2 3 Increasing the Positions of an Intra Position Movement 5 2 4 Decreasing the Positions of an Intra Position Movement 5 2 9 Search Intra Position Movement 5 2 6 Instruction History Intra Position Movement 5 2 7 Status History Intra Position Movement 5 2 8 Field Descriptions Search Intra Position Movements 5 2 8 1 Search Screen Section 5 2 8 2 OeKB CSD Status Criteria Screen Section 5 2 8 3 T2S Status Criteria Physical Instructions Allegements 7 1 Search Allegements 7 1 1 Generating a Counter Instruction to an Allegement 7 1 2 Field Descriptions Search Allegements 7 1 2 1 Search Screen Section 7 1 2 2 OeKB CSD Status Criteria 7 1 2 3 Settlement Parties Screen Section Holdings 8 1 Securities Positions 50 51 59 67 69 69
18. Additional Information CSD Hold Status field Create Instruction screen csssssesccccceeessseeecceseeessees 73 Additional Information Party Hold Status field Create Instruction screen cccsseeeeccccceeesseeeceecceaneesees 72 Additional Information step Create MM Stl C110 tha senn oaedensSemesasvouateadeceecenee 52 Create Instruction field descriptions ceceecceeseeeeeeees 88 Administration menu item oo00000000000000000000000000 199 alert reason task list PA O e E R 41 Alleged Party BIC field Search Allegements screen seeesecccceeessseecceeeeeeeeeees 177 allegement generate counter instruction cccssssseeeccceeessseeecees 168 Allegement Cancellation Advice field Message Subscription Rule SCreen sssseeeeeeeeeeees 225 Allegement Notification field Message Subscription Rule SCreen ssseeeeeeeeeeees 224 Allegement Reference field Search Allegements screen s snssssseeersssssseeerssssseeerss 170 Allegement Removal Advice field Message Subscription Rule SCreen ssseeeeeeeeeeeees 224 Allegements Eo E EEIE E IIE A A N E TN 166 Alleging Party BIC field CSD GmbH Search Allegements screen cccccccssssssseeeccseeeeseees 178 angle bracket with biro ssssssecccsssseecccosssececoossseseeeosss 22 APOE OW AU P E E A E E E E 38 approval rejeti ed onrein inania TEE 39 approve but
19. DUON cisions ni n iaa e es 18 CENTRAL SECURITIES DEPOSITORY CeKB CSD GmbH 1010 Vienna Austria Strauchgasse 3 Tel 43 1531 27 2100 csd oekb csd at www oekb csd at
20. If the reason code in an instruction is Both Instructions On Hold the mes sage will be received If the reason code in an instruction is Cancelled By Yourself the message will be received If the reason code in an instruction is Cancelled By System the message will be received will be received If the reason code in an instruction is Conditional Delivery Awaiting Re lease the message will be received If the reason code in an instruction is Insufficient Securities in Counter party Account the message will be received If the reason code in an instruction is Insufficient Money in Counterparty Account the message will be received If the reason code in an instruction is CSD Hold the message will be re ceived If the reason code in an instruction is Cancelled By Third Party the mes sage will be received If the reason code in an instruction is CSD Validation the message will be received 159 O If the reason code in an instruction is Cash Account Rejection the message Message Subscription Field DDAT DEPT DMON DQVA DSEC DTRD FUTU ICAG ICUS INBC INVB INVL INVN LACK LATE LINK MINO MONY MUNO NCRR NORE 156 An Active Ticked Check Box Means If the reason code in an instruction is Disagreement Settlement Date the message will be received If the reason code in an instruction is Disagreement Place of Settlement the message will be received
21. This icon in the header and footer of Create and Edit screens indicates the current step to enter data This icon in the header and footer of Create and Edit screens indicates a completed step where all mandatory data have been entered and validated to be submitted to the system The Settlement Client Element Usage Create Settle ment Instruction screen also in its representa tion as Edit screen and detail view Create Edit and Review screens detail views Create Settle ment Instruction screen step 2 Settlement Parties Message Subscription Rule screen All screens All screens All screens Lists Function This icon in the header and footer of Create and Edit screens indicates a step where no data have yet been entered Hover the mouse pointer over this icon to have additional information displayed Securities Account Account Category shows existing constraints Default Account yes no Partial Settlement yes no Auto Receive yes no Name designation of the financial instrument Minimum Denomination of the financial instrument Minimum multiple Quantity of the financial instrument Depository current safekeeping location of the financial instrument Active yes no This icon indicates that you have the option to enter additional data e g more counterparties Clicking on this icon opens a hidden screen section where you can enter additional da
22. Total Number Linkages cisicecs cevssciccsiessvovsisrniocvuemsocieeeeds 93 Trade Date Create TW ISUUCTION seniun cs salonaclesaeicbedadealenstiina csi niawaclasaunes 70 Trade Date from Search Allegements ss teu csersivesseewtescdec ew wacoueacdoroterierds 172 Search INSU esit dire abcuntiaucucclah E 112 Trade Date to Search Allegements sennsessoeernssssseeerssssseeersssssseeee 172 Sea CNS UCU ON eioi T 112 Transaction Confirmation Message Subscription Rules ccccccccssssecccccesssssseeeeeees 222 Transaction Status Advice Message Subscription Rules ccccsssssccccccssenssesceeees 219 Transaction Type Create INSIrUCUON s suresdcinosaniniienuarnideiekiececsauwinaienssesuneds 62 Search Allegements ocssseacestsasanctansite tote varuesseraendssavans 177 Search INSrUCHUON sose ieinon ieii eS uaeie esas IZ Transaction Types Message Subscription Rules ccccccsssesseccccccssseeeeeeees 217 Use OF RESEMGCTONS icc seeds etter a eessacle ees ea 90 Valid from CAS ACCOUNE oia O ee ieoe 34 Valid to Cash ACCOUNT aa a e E A 34 Entries G field next to Settlement Quantity Create Instruction Screen cscccccssssececeeeseccceeenecceeees 68 Create Intra Position Movement screen 0seccceees 136 Search Allegements screen seeeseccccceeesseecceeeeaeeeeees 174 Search Instruction screen cccccceessecceeeesecceeeeeeeeeeees 114 Search Intra Position Movements SCreen
23. ccc000 161 Restr Type Balance To field Create Intra Position Movement screen 00ccce00 141 Create Intra Position Movement screen ccce008 162 Search Intra Position Movements screen cc00008 162 Restriction Reference field Search Intra Position Movements screen 000008 154 Restriction Reference Restr Type Balance From field Create Intra Position Movement screen 000e0s 140 Entries S S Restriction Reference Restr Type Balance To field Create Intra Position Movement screen sssseeeees 142 Restriction References field Create Instruction screen Use of Restrictions 92 Restriction Type field Create Instruction screen Use of Restrictions 92 Restrictions screen section Create Instruction screen cssssseeccccceeesseeeecceseeessees 90 EVIE IC Osna 20 RFP Receive Free of Payment sssseeccccccscosssssssseeeee 46 RFP field Four Eyes Principle screen sssssseeccccceessseeeceeseees 228 rows ICON with magnifier sssssssssecececcccossssssssseeeeeeeooo 21 Rule Name field Message Subscription Rule SCreen ssseeeeeeeeeeees 216 Rule Type field Message Subscription Rule SCreen sssseeeeeeeeeeees 216 RVP Receive versus PayMent ccccccsssssscccccessssssees 46 RVP field Four Eyes Principle screen sssssseec
24. Disagreement Buyer Seller Account the message will be received If the reason code in an instruction is Securities Blocked the message will be received If the reason code in an instruction is Unrecognised or Invalid Settlement Transaction Type the message will be received If the reason code in an instruction is Validation Rule Rejection the mes sage will be received Status messages from cancellation instructions will be received Status messages from modification instructions will be received Messages from settlement confirmations will be received 9 2 4 2 Intra Position Movement Rule Type Field Instructing Party BICs Status Advices Intra Position Movement Status Advice MT548 semt 014 An Active Ticked Check Box Means The subscription rule will apply to the selected BIC s of the authorised parties of the holder of the securities account Status messages from intra position movements will be received 157 Message Subscription Field Confirmations Intra Position Movement Confirmation MT508 semt 0 15 9 2 4 3 Allegement Rule Type Field Notifications Allegement Notification MT578 sese 028 Status Advices Allegement Removal Advice MT578 sese 029 Allegement Cancellation Advice MT578 semt 020 158 An Active Ticked Check Box Means M Confirmations from intra position movements will be received An Active Ticked Check Box Means M Settlement messages from al
25. Rule SCreen seseeeeeeeeeees 214 Search Message Subscription SCrEe N cccccceeseeeees 202 Securities Account Details screen sssssseeesssssseeerssss 28 Securities Positions screen sessssseeeesssssseeessssseeseess 185 Securities Posting Items screen ssssensssssseeesssssseeers 189 party hold alert reason task lisi sisnnseausnrmiaden e aa 4 Party Hold Status field Create Instruction screen ssessessssseeeeessssseseesssseeeeesssss 72 Search Instruction screen ssssesessssseeeesssssseceesssseeseess 119 Payment Free of Delivery Credit sscsscccsceeeeeeees 47 Payment Free of Delivery Debit ccccccceeeeeeeeees 46 PDF Download button ssiccsssascsecssescccsssancsesssancscedsevccsnssansas 18 pen ICOM cssisdiicnescaducaucscsh snus casusuissdss a 20 21 22 pen icon with angle bracket ccccccssssssscecccsssssssees 22 pencil ICOM css cissssesucosndessconseessdessssesdess est aaa 20 21 22 Pending Reason Codes field Search Instruction screen csessseccccceeesssseecceseeeseees 121 PFD Payment Free of Delivery Credit s0000 47 PFD Payment Free of Delivery Debit cccsseee 46 PFD Credit field Four Eyes Principle screen ssssseececccceessseeeceeseees 229 PFD Debit field Four Eyes Principle screen sicscsesisssaiacsaresecievealasvarcdectuns 229 Physicals field Four E
26. Settlement Amount and Settlement Amount Currency are not displayed in the screen for the instruction types Free of Payment DFP RFP The Trade Date field is automatically filled with the current date the Intended Settlement Date field is automatically filled with the date of the first bank day after the next bank working day Trade Date 2 bank working days You may modify these dates if required TIP Saturdays Sundays and holidays as listed in the General Terms and Conditions are bank holidays and are automatically skipped by the system when completing date fields 6 Click next or click on the next step in the screen s header or footer The Settlement Parties page appears 40 Settlement Instructions CekB CSD GmbH 4 1 2 Entering Settlement Parties Example DVP Create Settlement Instruction a O Proprietary Identification O Proprietary sue Proprietay scheme name SS Add Receiving Party Figure 21 Create Settlement Instruction Settlement Parties Example DVP Delivery versus Payment 41 Settlement Instructions How to Enter the Settlement Parties of a New Settlement Instruction Step by Step In the step Settlement Parties the system completes the following fields BIC Depository of the Delivering Receiving Party incl Description OCSDATWWXXxX TIP The BIC Depository of the Delivering Receiving Party field may be used to enter the CSD of the counterparty e g in the case of c
27. a clear hierarchical structure Progress log for instructions and restrictions which lists all actions performed for a certain instruction and the associated status transitions chronologically The Message History is displayed as the last tab of settlement instructions and intra position movements in the Summary screen and in the detail view A data set which together represents a certain information unit An information unit may be e g an instruction a restriction a message subscription or any other infor mation unit which may be processed in the Settlement Client Confirmation of entered data and submittal of the record to the system Unit of the Settlement Client user interface which contains several elements fields for entering or displaying details of information List displayed after a search run was performed Search result lists contain the results which meet the defined search criteria IT Services of OeKB and OeKB CSD GmbH for the safekeeping management and settlement of securities providing state of the art user friendly real time systems and professional support The Login Portal of the OeKB CSD Services is where you can log on to the Settlement Client System of the OeKB CSD for the settlement of securities instructions online Order for carrying out a securities transaction by one of the involved parties Usually there is an instruction own order and a counterparty instruction order of the other party involv
28. creating a new instruction where the instruction type DVP Delivery versus payment is used as example only takes into consideration that certain fields are filled in by the system according to master data settings The step by step descriptions therefore only list the fields which usually require user input and hints on fields displayed differently for other instruction types or needing different input than in the case of DVP A detailed description of all fields their interdependences from one another or from master data settings and permitted input e g numbers text dates length etc is available in the Field Descriptions table 4 1 1 Entering Instruction Details Example DVP Create Settlement Instruction Instruction Details Settlement Parties Additional Information next Instruction Type DVP Delivery versus Payment Transaction Type TRAD Customer Reference MITI Matching Reference Instructing Party BIC Description Securities Account Description Cash Account ISIN Description Settlement Quantity Settled Quantity Settlement Amount Settled Amount Trade Date 28 08 2015 Intended Settlement Date 01 09 2015 Effective Settlement Date T25 Status Information Party Hold Status Additional Information Match Status Cancellation Requested Instruction Details Settlement Parties Additional Information next Figure 20 Create Settlement Instruction Instruction Details Example DVP Delivery versus Payment
29. defined in the selected message subscription BIC of the party specified as message receiver in the selected message subscription The instruction format selected in the securities account master data Empty check box The messages contain the securities account number in the new format starting with OCSD List of the rules defined for the selected message sub scription Field Descriptions Edit Message Subscription Entry by user Selection from 18015022 MT or ISO20022 MX Branch code for which the defined subscription rules shall apply If you activate tick the check box the securities account number in the messages will be displayed in the old format see Message Subscription Rules CSD GmbH Input Assist Selection Length BIC 11 145 OQ Message Subscription 9 2 Message Subscription Rules Use the Edit Message Subscription screen to modify delete or add message subscription rules 9 2 1 Modifying a Message Subscription Rule If you want to modify a message subscription rule you need to start in the Edit Message Subscription screen Figure 70 Subscription Rules List example edit 146 Message Subscription CekBP CSD GmbH Message Subscription Rule Message Subscription Rule Party BIC Description Securities Account Destination BIC Rule Name All Messages Rule Default Rule Type Settlement Instruction Instructing Party BICs Instruction Types DFP DVP DWP
30. field Create Instruction screen ccccccccssessseeeccceeessseeeeees 62 Create Intra Position Movement screen s0000e 132 Search Allegements screen cccccccssssseesccceeeeeseees 169 Search Instruction Screen esssssssessssssseerssssseeeerssssseee 108 Search Intra Position Movements screen 000008 153 Modification Status Advice field Message Subscription Rule screen seeeeeeeeeeeeees 222 modify Message SUDSCHIPTON cussasassevancasverenceenesensanyexincaenon 201 207 Settlement Instruction ccsssceccccccesssseeecceseessseeecess 99 MT544 MT545 MT546 MT547 sese 025 field Message Subscription Rule screen seseeeeeeeeeeees 222 MT548 sese 0 14 field Message Subscription Rule screen cseeeeeeeeeeeeees 223 MT548 sese 015 field Message Subscription Rule screen seseeeeeeeeeeees 223 MT548 sese 024 field Message Subscription Rule screen cseeeeeeeeeeeeees 219 MT548 sese 027 field Message Subscription Rule SCree n seeeeeeeeeeeeees 221 MT548 sese 031 field Message Subscription Rule SCree n sseseeeeeeeeeeees 222 MT548 sese 032 field Message Subscription Rule screen ssssseensssssseeessss 218 MT578 sese 020 field Message Subscription Rule screen ssssseeenssssseeessss 225 MT578 sese 028 field Message Subscription Rule SCree n
31. in the detail view of an intra position movement shows the detailed sequence of user actions see modifying increasing or decreasing intra position movements and user tasks see Taskbox carried out for the specific intra position movement It also shows all messages inbound and outbound of the intra position movement The original messages can be accessed by clicking on the Detail icon NOTE lt is not possible to edit entries in the Instruction History Intra Position Movement Details Instruction Data Instruction History Status History User Request Type User Task Type Message Type Create Settlement Restriction MT548 MT508 User Status Timestamp Reference Direction Test User Completed 16 06 2015 12 54 55 000 1005905729 Outbound 18 06 2015 12 56 11 727 0 1005905731 Outbound 18 06 2015 13 21 36 094 5 Figure 51 Instruction History intra position movement OQ Intra Position Movements close window X lt nsBD BizData xmlns nsBD urnziso stdriso 20022 tech xsd head 003 001 01 gt nmsAH AppHdr xmins nsAH urnviso std iso 20022 tech ixsd head 001 001 01 gt msAH Fr gt lt nsAH Fild gt ens H Finlns trld lt nsAH BICFl gt BKAUATWWXXX ns AH BICH lt nsAH ClrSysMmbld gt nsAH ClrSysld gt lt nsAH Prtry 72S lt nsAH Prtry gt lt msAH ClrSysid gt nsAH Mmbld OekKB A2 A ns4H Mmbld lt n5AH ClrSysMmbld lt nsAH Othr lt nsAH ld OCSDATWWXXX lt msAH Id gt lt nsAH Othr gt nsAH FinInstnld
32. it is possible to search exclusively for instructions for which the counterparty has submitted a cancellation Selection from the list by clicking on Selection the icon BLOC Account Blocked BOTH Both Instructions on Hold CDLR Conditional Delivery Awaiting Release CLAC Counterparty Insufficient Securities CMON Counterparty Insufficient Money CSDH CSD Hold 89 Settlement Instructions Field Content by system Entry by user Input Assist Length CVAL CSD Validation FUTU Awaiting Settlement Date INBC Incomplete Number Count LACK Lack Of Securities LATE Market Deadline Missed LINK Pending Linked Instruction MONY Insufficient Money NORE No Specified Reason OTHR Other PART Trade Settles In Partials PRCY Counterparty Instruction On Hold PREA Your Instruction On Hold PRSY System On Hold SBLO Securities Blocked Match Status all Selection between Matched or Selection The system searches for Unmatched instructions with any matching status 4 2 6 4 Settlement Parties Screen Section Field Content by system Entry by user Input Assist Length Receiving BIC of the depository of the receiving BIC11 Depository BIC party in the instruction s to be found Receiving BIC of the receiving party in the in BIC11 Party BIC struction s to be found Delivering BIC of the depository of the delivering BIC11 Dep
33. lEI Ve N enntaraes dienes 14 line with arrow pointing dOWn sessssssssseecccossseecceossssee 20 line with arrow pointing UpP sssssssssescscosssseecccosssescceossssee 20 link IG EAEE ca ee cee ELE I E E A toe FATSA 22 lOD Renee emer nr a a a a meen se ee 22 Linkage Type field Create Instruction screen LINKAGES cccceeeeeeeeeeeees 94 Linkages screen section Create INStruCtiOn SGre sisirin irna eaa 91 Create Intra Position Movement screen ccc000 142 LSU ICON E A E 21 25 locked Tel si eninscinonsemnia naa 15 LOE IM insae eea EN TEE EE 13 LOS UGS asc A acts sus as EE E 14 M PAS IP OR s aE S 20 21 magnifier with plus symbol and table rows s000 21 mandatory eldst a 15 Match Status field Entries N O Greate Instruction SCIOON sssinseisdecacasaciacsasncssasasnadonsedstaniees 74 Search INStructiOn SCLEEN cccccceessecccceseccceeeseeceeees 122 Matching Reference field Create Instruction Screen csccccccssseccceeeseccceeeseceeeees 63 Search Instruction screen cccccesesscccceesecceeeeeeceeees 109 mMenu DAM ercran nres ornin anaE EEEE ENE 24 menu item PCAN SER AU OM ait sewer tavaevensetaecetascvedentutexssta yoventecaedenestucds 199 Cash POV IGN erisicocire scersacasucniensistenpacdewedsacteucscacdoutaenseesuneaaes 193 Create Intra Position MOVeEMeNt ccccsssecceeeeeeeeeeees 125 Create Settlement Instruction ccccccesssec
34. of the receiving BIC11 Depository BIC party in the allegement s to be found Receiving BIC of the receiving party in the BIC11 Party BIC allegement s to be found Delivering BIC of the depository of the delivering BIC11 Depository BIC party in the allegement s to be found Delivering BIC of the delivering party in the BIC11 Party BIC allegement s to be found 127 Holdings 8 Holdings 8 1 Securities Positions Securities positions may be displayed either by ISIN or by securities account How to Open the Securities Positions Screen Step by Step 1 In the menu bar select Holdings gt Securities Positions The Securities Positions screen appears Securities Positions Search Party BIC Description Oesterreichische Kontrollbank Securities Account at Sd Include Nil Securities E Date per OoOO OS EF Positions search Figure 58 Securities Positions Positions search Ps Ao 10 ISIN Sec Account Party BIC Available Earmarked Blocked Reserved Total Value in EUR ATOOOOAOLIST4 i 165 000 000 0 000 0 000 0 000 165 000 000 Ee a uu 7 o n O doyp dawnload as Pdf Figure 59 Securities Positions search result list 128 Holdings CSD GmbH TIP The links in the columns Earmarked Blocked and Reserved allow you to display the associated subbalances of the position HOWE tae wie peT Positions search Positions 1 1 of 1 Rows per page 10 ISIN Sec Account Party EK Avail Earmarked Blocked Reserved
35. positive Quantity from or nominal value of the financial decimal to instrument in the instruction s to be number found shall lie If you leave one of the fields empty the system will search starting from or ending with the value that has been entered If you are searching for a specific quantity enter the same value into both fields Quantity Type After ISIN input or selection FAMT for financial instruments with a price as percentage of par face amount UNIT for financial instruments with a price per unit Settlement Value range within which the corres positive Amount from ponding cash value of the instruction s decimal to to be found shall lie number If you leave one of the fields empty the system will search starting from or ending with the value that has been entered If you are searching for a specific quantity enter the same value into both fields Settlement all Selection from CHF EUR GBP USD Selection Amount The system searches for RUB Currency instructions with any currency 85 Settlement Instructions Field Content by system Entry by user Input Assist Length Instruction all Selection from the list Selection T TEE The system searches for RFP Receive Free of Payment to instructions with any in search only for instructions of type struction type RFP RVP Receive versus Payment to search only for instructions of type RVP RWP Receive with Payment to
36. references Hyperlinks Example see chapter Settlement Instructions When you are using the PDF version of the user manual the links also function as hyperlinks The Settlement Client 3 The Settlement Client The Settlement Client provides access to the Settlement Services of the OeKB CSD The Settlement Client is used to enter and manage securities instructions Additional functions are the display of securities positions and cash preview holdings and preview billing reporting and administration 3 1 Login You log on to the OeKB CSD Services via the Web link https login oekb at co wew oekb at KBO CRUPPE GROUP Login Portal Welcome Contact With only one User Name and single login you can hawe central access to IT services of Oesterreichische IT Service Cente Kontrollbank AG OeKB and OeKB CSD GmbH EET a Tel 43 1 53127 1111 c list of accessible services B Fax 43 1 53127 4111 c information on the Login Portal E Send E Mail Login with User Name and Password Please log in with your User Name and password Service Center c List of all Service Centers OeKB CSD Password i gt Click here for login with RSA Key Fob Token gt Click here for login with SMS Token Downloads C Juniper installer Service Forgot your password axe 1 7 MB Please contact your administrator or if Oesterreichische Kontrollbank AG or OeKB CSD GmbH is carrying out user es a ee management on behalf of your company please cont
37. search only for instructions of type RWP PFD Receive Free of Delivery Debit to search only for instructions of type PFD Debit DFP Delivery Free of Payment to search only for instructions of type DFP DVP Delivery versus Payment to search only for instructions of type DVP DWP Delivery with Payment to search only for instructions of type DWP PFD Receive Free of Delivery Credit to search only for instructions of type PFD Credit 86 Settlement Instructions Content by system TRAD Standard Instruction Transaction Type The system searches only for instructions of trans action type TRAD Instructing Party BIC BIC of the inputting party Auto Complete After input of the first or two consecutive characters of the BIC the system sug gests a list of BICs The complete list of all parties available in the system is displayed after putting the cursor into the field and hitting the arrow down key on the keyboard Securities all Account The system searches for instructions with any securities account of the inputting party Entry by user Selection from the list a CLAI Market Claim to search only for instructions of type market claim COLI Collateral credit provider to search only for instructions of type collateral credit provider COLO Collateral credit con sumer to search only for instruct tions of type collateral credit con sumer COR
38. still missing or not yet processed The system allows you to immediately create the counter instruction to an allegement How to Open the Search Allegements Screen Step by Step 1 In the menu bar select the menu item A egement The Search Allegements screen appears Search Allegements Search Reference of Counterparty Reference Allesement Reference Po Period intended Settlement Date dt E from Tradeatefom Cid D e Criteria Settlement Quantiy ftom C E struction Tye O i O iye TDi Alleged Party BIC OEKOATWWZXYX Securities Account all ae 7 OeKBG CSD Status Criteria 7 Settlement Parties search Figure 54 Search Allegements You can use the following drop down screen sections to enter search criteria Search this section is displayed when the screen is opened for the first time fig 54 OeKB CSD Status Criteria fig 55 Settlement Parties fig 56 120 egements Oe RO CSD GmbH TIP The system records the screen sections displayed and the search screen appears in the same way when you open it the next time OeKB CSD Status Criteria Instruction Status Figure 55 Search Allegements OeKB CSD Status Criteria Settlement Parties Figure 56 Search Allegements Settlement Parties TIP Clicking on search without entering search criteria lists all allegements available in the system To search for a specific allegement s enter criteria in the fields which best characterise the allegeme
39. the amount in the foreign currency to ensure matching Any data contained in this field will be overwritten in this case With a Common Reference specified this field becomes a matching criterion For details see Sett ement Services Functional Guide Free text see Use of Restrictions field description see Linkages field description lt is possible to modify linkages when editing an instruction Length 16 alphanum screen section Drop down screen section Settlement Instructions 4 1 6 4 Use of Restrictions Screen Section Step 3 Field Instruction Type Content by system Restriction All Input request please Type select Restriction All List of the references of References all previously entered intra position move ments of the selected type For details on how to create restrictions please refer to Create Intra Position Movement 4 1 6 5 Linkages Screen Section Step 3 CSD GmbH Entry by user Length Selection from the list AWAS Deliverable Securities Position available securities position not yet included in an intra position movement BLOn Blocking blocked securities position labelled in an intra position movement as Restr Type Balance To BLO n 0 9 RESn Reserved reserved securities position labelled in an intra position movement as Restr Type Balance To RES n 0 9 EARn Earkarming earmarked securities positi
40. you want to generate a counter instruction click on the Generate CP Instruction icon The Create Settlement Instruction screen appears 5 Continue entering the Settlement Instruction 7 1 2 Field Descriptions Search Allegements The description of the fields in the Search Allegements screen is sectioned in two parts i e the two drop down screen sections Search this section is displayed when the screen is opened for the first time fig 54 OeKB CSD Status Criteria fig 55 Settlement Parties fig 56 122 Allegements 7 1 2 1 Search Screen Section Field Content by system Reference of Counterparty Customer Reference CSD GmbH Entry by user Input Assist Customer reference of the allege ment s to be found Length 16 max alphanum OQ Reference Allegement Reference Period Intended Settlement Date from to Market Infrastructure Transaction Identifier of the allegement s to be found Reference of the allegement s to be found assigned by 12S after settlement Date range within which the intended Calendar icon settlement date of the allegement s to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Date range within which the trade date Calendar icon of the allegement s to be fo
41. 0 Restriction Reference Restr Type Balance To 142 SECUNITIOSAGCOUNE sariei aeiia a e EE EE 133 DEUS QUAU Yea e ao E EE T 136 Settlement Quantity tases sr sosrwasocrnsieensenacsoramuoormiutennes 135 Create Intra Position Movement menu item 125 Create Settlement Instruction fields Add Delivering Party cssssssccccccsssssseeccceseeeseees 75 87 Add Receiving Party ciiccserssvispevcuwcageycesscauwcnvadaexesneanvess 76 86 Additional Information CSD Hold Status 08 73 Additional Information Party Hold Status 0 72 BIC Client of the Receiving Delivering Party 83 BIC Delivering Party cccccccssssssecccceeeesseesecccseeessees 80 BIC Depository of the Delivering Party ccccsseeeees 78 BIC Depository of the Receiving Party ccceeeeeeees 77 BIC Receiving Panky nccerscctensvavcencventacuas ta ieandoeentenae maanivens 80 Cancellation Requested vcs sescssacateoisesicsanesensseiaciacesdorwseeds 74 Cash ACCOUNT sexscaes senacnsssarduans ene a a avvatadsbenaeseade nests 65 COMMON Reference eeesessssssssssrreeeceressssssssssrseceeeeesse 89 CSD TOG Status aiar arosersaad sanenn cionctamadorsente 73 Customer Reference esssssssssssssrreeeeeressssssssssreeeeeeeesse 62 Description BIC Client of the Receiving Delivering Party PEA O E E Bat EE 83 Description BIC Delivering Receiving Party
42. 014 30 12 2014 30 12 2014 Figure 18 Search result list extended search results 2 example Search Settlement Instructions CeKBO CSD GmbH AT0000720008 15 10 AT0000720008 1 000 EUR AT0000720008 1 000 EUR AT0000720008 1 000 EUR AT0000720008 1 000 EUR AT0000720008 1 000 AT0000720008 1 000 AT0000720008 1 000 AT0000720008 1 000 AT0000720008 1 000 Testsystem Settlement Services 0 00 17 412 56 17 412 56 17 412 56 17 412 56 unmatched Released matched Hold matched Released matched Released matched Released Released Released Released Released Released Rejected Accepted Accepted Accepted Accepted aes 10 Testsystem Settlement Services Settlement Instructions Extended Search Results Validation Hold Status CSD Hold Status Techn lssuer BIC Source zased zased zased zased zased zased ased zased zased zased Figure 19 Search result list extended search results 3 example Search Settlement Instructions How to Use the Extended Search Results Option of the Search Result List Step by Step Released Released Released Released Released Released Released Released Released Released OCSDATWWXXX OCSDATWWXXX OCSDATWWXXX OCSDATWWXXX OCSDATWWXXX OCSDATWWXXX OCSDATWWXXX OCSDATWWXXX OCSDATWWXXX OCSDATWWXXX GUI SWIFT SWIFT SWIFT SWIFT SWIFT SWIFT SWIFT SWIFT SWIFT 10
43. 108 Partial Settlement Ind ccccccccsssssseecccceeesseeeceeeeees 124 Pal Ly MOLO StA ane e E waieumentercunnscanatiee 119 Pending Reason Codes ssssseeeeessssseceessssseeeessssseee 121 PRONT reana a A aa 124 PROCESSING SLALUS nsonrotisensai aas AT 121 Q anuty TYDE konee E O ine eesenn eens 114 Receiving Depository BIC ssssssesesssssseeeessssseeeessssseee 122 Receiving Party BIC sssssseeeessssssecesssssseceessssseceessssseee 123 SECUMTIES ACCOUNT arasin Vin a ENE A NNa 118 Settlement Amount Currency sessssseesesssssseceessssseceess 115 Settlement Amount from s sssssseeeessssseeeesssssseseessssseseess 115 Settlement Amount tO ccccssesssseccccceesssseccceeeeeseees 115 Settlement Quantity from sssseeeessssseeeesssssseeeessssseseess 113 Settlement Quantity TOs cases eceiyinsovossiuier eis ieaveuneteixcusasens 113 TASK Wy OG ser AE eacsoetonme T ue anne eee 119 Trado Date PON nra a E 112 irade Date TO sraon orea EE T O 112 Transaction Type coer 117 Search Settlement Instructions menu item 96 SEACH D tton saires 18 Sec Acc Category field Securities Account Details screen sssssseeeessssseeeessss 30 Sec Acc Number field Four Eyes Principle screen sssssseeccccceesssseecceseees 228 Sec Acc Number field Securities Account Details SCree n ccccccccseesseees 29 Sec Acc Type field Securities Account Detail
44. 11 26 04 714 O refresh edit PDF Download Figure 41 Instruction History close window X lt nsBD BizData xmlnos nsBD urn iso std iso 20022 tech xsd head 003 001 01 gt lt nsAH AppHdr xmlns nsAH urnsiso std iso 20022 tech asd head 001 001 01 gt nsAH Fr lt nsAH Fild ns4H FinInstnid lt nsAH BICFl gt BAWAATWWXX lt nsAH BICFl gt lt nsAH ClrSysMmbld nsAH ClrSysld gt lt nsAH Prtry gt T2S lt msAH Prtry gt lt nsAH ClrSysld lt nsAH Mmbld gt QeKB AZA ns4H Mmbld lt msAH ClrSysMmbld gt nsAH Othr lt nsAH ild OCSDATWWXX nsAH ld gt he OH ir gt e T Tan Malde OoOO A B OoOO AAAA ee S ime a Figure 42 Instruction History Message Detail 4 2 5 Status History Settlement Instruction The Status History in the detail view of an instruction shows the detailed sequence of status modifications applied to the specific instruction NOTE It is not possible to edit entries in the Status History 82 Settlement Instructions CSD GmbH Settlement Instruction Details Instruction Details Settlement Parties Additional Information Instruction History Status History Begin Time End Time Status Type Status Status Reason Additional Information 30 06 2015 30 06 2015 Settlement Pending PREY SPSTO02 Settlement Instruction is unsettled because its 17 21 16 725 17 21 22 011 Status counterpart settlement instruction is On Hold 30 06 2015 Match Status Matched 17 21 16 852 30 06 2015 Proce
45. 15 Instructing Party BIC Gr ate HSU UGH ON eeraa a A 63 Create Intra Position Movement ccssscccceseseceeceeeees 132 Message Subscription Rules cccccccssseeeeeeeeees 216 222 SAIC LAS TUCU sarna e n a i eee 117 180 Search Intra Position MOVEMENLES cccccssseccceseeeeeees 159 Search Message Subscription cccccccssssseccccceessseeeees 203 Instruction Format Edit Message Subscription cccccsseesseeccccsenessesceeees 206 Instruction Status Search Allegements siaiss savessrsiacedarsiaretersasvesswsatedewtenes 178 SCIONS TUC ON eves tice cee tales a O a 118 Search Intra Position MOVEMENES cccccseseccceseeeceees 163 Instruction Type Search Allegements sis tines vissecncte nes aatecaveee Neen eons 176 Search INSTUCTON irris aisa a a AE 116 Instruction Types Message Subscription Rules ccccccsssccccccssessseeceeees 217 Intended Settlement Date Create Instruction esseeeeeseeneeseereeseereeseerseseerssseeresse 71 Create Intra Position MOVEMENL ccccccseesccceeeesees 137 Intended Settlement Date from CASA FTO OW eoe bender EAA A a 197 Search Allegements cccccccssnsssscccccccensssecccccseeasseecs 171 Search TISEUCTIONS e E EA 110 Search Intra Position MOVEMENES cccccsesecceeseseeeees 155 Intended Settlement Date to Search Allegements sennesssoeeensssssoeeessssseeersssssseeee 171 Seal CM ANSUUICTIONS crva a a eevast 110 Search Intra Position M
46. 160 Document Versions and History of Changes 1 Document Versions and History of Changes Version Date Chapter Changes 1 0 08 04 2015 2 0 08 10 2015 Chapter 3 Entry Page Securities Accounts List new Capter 13 User Roles The screenshots and the description of functions represents the system state at the time of completion of this manual As the system will be continuously updated and amended during the testing phase the appearance of the user interface as well as the design of the available functionalities may diverge from the examples and procedures described here The user documentation will be updated to represent the final state of the system when it goes live About the Manual 2 About the Manual CSD GmbH The manual describes the Settlement Client of the OEKB CSD for use in the daily work processes You will learn how to work with the user interface which inputs and activities in the Settlement Client produce the desired results and which general or special functions are available to effectively process your settlement instructions 2 1 Structure of the Settlement Client User Manual The following overview outlines the individual chapters of the Settlement Client user manual and their contents The third column of the table describes the main benefit from the chapter for the intended user group in the last column Chapter Content User Benefit User Group OQ Introduction About the Manual The Settlem
47. 3 08 2015 ATOOOOOFACC 999 00 EUR 99 000 8 104 000 Y SETTLEMENT OCSD222100 27 08 2015 ATOOOOOFACC 2 0 00 6 001 000 7 998 000 N SETTLEMENT 0CSD222100 26 08 2015 ATOOOOOFACC2 0 00 5 000 000 12 999 000 M SETTLEMENT download as Excel download as Pdf Figure 63 Securities Posting Items search result list 133 Holdings 8 2 1 Displaying Securities Posting Items With the securities posting items enquiry you can determine when the bookings of a securities transaction were effected on which securities accounts You may use the ISIN to search for specific financial instruments or enter a securities account number to display the posting items for a securities account How to Enquire for Securities Posting Items Step by Step 1 In the menu bar select Holdings gt Securities Posting Items The Securities Posting Items screen appears The system automatically inserts the appropriate predefined values into the fields Party BIC enquiring party incl Description Securities Account all Currency all Purpose all Date from date one month before the current date Date to current date Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system Click on the search button The search result list containing all bookings matching your search criteria appears 8 2 2 Colour Codes of the Search Result List Colour Code Black font Blue
48. 4EP authorisation The system displays the Settlement Instruction Summary where you can verify the data you have entered The screen includes the Message History in a separate tab 2 Click ok in the Settlement Instruction Summary to confirm your entries The entry page appears Settlement Instructions CekB CSD GmbH Creation of Settlement Instruction must be approved by another user Settlement Instruction Summary Instruction Details Settlement Parties Additional Information Instruction History Status History Instruction Type DVP Delivery versus Payment Transaction Type TRAD Customer Reference ocsbooo000000108 MITI Matching Reference Securities Account mip e oi peaa i a 7 Description one Cash Account please select ISIN ATOOOOO0STR1 Description STRABAG SHS Settlement Quantity 10 000 UNIT Settled Quantity 0 000 Settlement Amount 10 00 EUR Settled Amount 0 00 Trade Date 28 08 2015 Intended Settlement Date 01 09 2015 Effective Settlement Date T25 Status Information Party Hold Status Released Additional Information CSD Hold Status Released Additional Information Match Status Unmatched Cancellation Requested refresh ok Figure 23 Settlement Instruction Summary Example DVP with 4EP Authorisation 4 1 4 Entering Restrictions for an Instruction Example DVP It is possible to assign previously blocked or reserved positions when creating a new or editing an existing ins
49. 5 ensacsondasssnlsvenednnenisdvovdausdsaniaveecunaooere 90 Create Settlement Instruction menu item 0000000 46 Create Erase field Four Eyes Principle screen ssssssececccseessseeecceseees 228 CSD Hold Status field Create Instruction Screen is ssavssscesvaeevuwranraricewedciweanedeadss 73 Search Instruction screen ccc eeesceeccescessceescees 119 120 CSD GmbH CSD Validation Hold Status field Search Instruction screen ssassiceasedsasesseracenssianvecesounsvnnes 120 Cum Ex Indicator field Create Instruction screen sesssssseeeessssseeeessssseeeeessssseee 88 Currency field Cash Account pop up dialog sscisswrveosewnserrmnvavinenmareears 34 Cash Preview Screen ssseseessssseesessssseeceessssseceessssseee 196 Securities Posting Items SCreeN ssssseeeccecseeeeeees 190 Customer Reference field Create Instruction screen ssssssseesssssseeerossssseeesssssseee 62 Create Intra Position Movement screen 00eees 131 Search Allegements screen sssssssensssssseeessssssererssssseee 169 Search Instruction Screen sssssssessssssseeressssseeerssssseee 108 Search Intra Position Movements screen 000008 153 D date eldens 16 Date from field Securities Posting IteMS SCreen ssssseeesssssseeerssssseee 191 Date per field Securities Positions Screen sssseesssssseerssssssererssssseee 186 Date to field S
50. Account 114 Content by system After ISIN input or selection FAMT for financial instruments with a price as percentage of par face amount UNIT for financial instruments with a price per unit BIC of the inputting party Auto Complete After input of the first or two consecutive characters of the BIC the system sug gests a list of BICs The complete list of all parties available in the system is displayed after putting the cursor into the field and hitting the arrow down key on the keyboard all The system searches for intra position movements with any securities account of the inputting party Entry by user Value range within which the quantity or nominal value of the financial instru ment in the intra position movement s to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the value that has been entered If you are searching for a specific quan tity enter the same value into both fields Selection from all authorised parties Input of the first or two consecutive characters of the BIC then selection from the suggested list INFO If there is only one autho rised party the inputting party no entry is accepted in this field Selection from the securities accounts available for the instructing party if a selection has been made in the In structing Party BIC field In addition to the securities account number th
51. All screens Holdings and Administration screens Edit screens and details views Create Edit and Review screens hidden section detail views Masks mask sections which allow multiple selections Review masks Create Settle ment Instruction screen also in its represent tation as Edit screen and detail view Pop up dialogs Message Subscription Rule screen Pop up dialogs without input options CSD GmbH Function Drop down fields contain predefined entries from which you can select one option Click on the arrow button on the right side of the field or click into the field to display the options You cannot enter data into a drop down field A check box is used to activate or deactivate a function Check boxes do not allow the entry of any characters The text adjacent to the check box indicates the function that can be selected with the corres ponding check box A tick in a check box indicates that a function is activated Clicking on this button discards changes which have been rejected during 4 eyes principle authorisation by another user or by T2S and resets the in struction or the intra position movement to the status before the changes were made INFO This button is also displayed in the Edit screens and detail views of newly created but rejected instructions and intra position movements Clicking on this button opens a pop up dialog where you may enter additional data e g linkage
52. BD 20221122 2 Settlement Quantity Settled Quantity settlement amount Settied Amount Trade Date 22 07 2015 Intended Settlement Date 24 072015 Effective Settlement Date 0 T25 Status Information Party Hold status additional Information CSD Hold Status Additional information Frocessing Status Reason Code additional information Match status Cancelation Requested Instruction Details Figure 36 Edit Settlement Instruction Instruction Details example RFP 76 Settlement Instructions CeKB CSD GmbH Edit Settlement Instruction eee ES Figure 37 Edit Settlement Instruction Parties Edit Settlement Instruction partial Settlement nd Partial not alowed f please select see dr Opt out Indicator please selectae 7 Figure 38 Edit Settlement Instruction Additional Information 77 Settlement Instructions TIP In case of instructions not yet settled the system displays the type of error and the reason why settlement has failed at the top left and the bottom left of the screen respectively in red typeface How to Modify a Settlement Instruction Step by Step 1 In the menu bar select Settlement gt Search Settlement Instructions The Search Settlement Instructions screen appears The system automatically inserts the appropriate predefined values into the fields Settlement Amount Currency all Instruction Type all Transaction Type TRAD Instr
53. Default Valid from Valid to Status SAP CHF no 28 05 2015 pa SAP USD yes 15 06 2015 pa T25 EUR yes 28 08 2015 a Authorised Parties Authorised Parties not defined Figure 8 Securities Account Details securities account detail view Cash Account Cash Account Cash Account Type Cash Account Number Currency Valid from 28 05 2015 Ez Valid to Settlement Default Auto Collateralisation Cash Settlement Last Synchronisation 28 05 2015 16 19 57 Figure 9 Cash Account securities account detail view 24 The Settlement Client 3 4 2 4 Field Party BIC Party BIC Description Sec Acc Type Sec Acc Number Securities Account Description Opening Date Closing Date Sec Acc Category Hold Default Blocking Date from Blocking Date to Blocking Reason Default Sec Account CSD GmbH Field Descriptions Securities Account Details Content by system BIC of the securities account holder The designation of the securities account holder Possible securities account types Participant securities account of a participant of OeKB CSD The complete securities account number starting with OCSD Designation of the securities account INFO This name is automatically displayed in the corresponding Description field in the screens of the Settlement Clients after this securities account s number has been selected in the associated field Securities Account The day star
54. Delivery versus Payment 43 Settlement Instructions How to Enter Additional Information of a New Settlement Instruction Step by Step 44 In the step Additional Information the system completes the following fields Priority Normal Partial Settlement Indicator as specified in the securities account master data TIP Use of Restrictions Here you can assign Restriction References i e posi tions previously blocked reserved or earmarked by intra position movements that will be used to settle the instruction To do so click on the function link Use of Restrictions to open a drop down screen section where you can fill in the corresponding fields For more information on restrictions please refer to chapter Entering Restrictions for an Instruction Linkages Here you can define Linkages i e connections with other instruct tions or restrictions that shall apply to an instruction To do so click on the function link Linkages This opens a drop down screen section where you can fill in the corresponding fields For more information on linkages please refer to chapter Entering Linkages for an Instruction 1 Click save to save the instruction INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a releaser The instruction is saved and submitted to the system for processing or for
55. E OT 31 BIQEKING REASOMsiseuicsesivasediss cuits seen Resapentersabones teed sevses 31 Cash Account Number Cash Accounts ccceeceeeeee 33 Cash Account Type Cash ACCOUNTS cccccsssseseeeeeees 33 Cash Settlement Cash ACCOUNTS ccecceeccesccsseeees 35 CLOSING Dalerni e iran a N E coe amewneeons 30 Currency Cash AcCounts sis vsciuvssrssascsixreevraistianesver seas 34 Default Instr FORMAL cas senacsesdavncatareracssvsxvacnessavacseusiunese ss 32 Default Sec ACCOUNT sern a or 31 Description Party BIG cicera 28 Description Securities Account essssssseeesssssseeerssss 29 Hold Detala e ea a A aang 30 Opening Date searr Gasiaatagras a E auenates 29 Partial Settlement Default ccccccccsssssseeeceeseeeeeees 32 PARV BIC cestteaccsiictsnteaticean dectindnalecteddecitacvuseesbe einen tedstetsnlestnens ux 28 DE Cw ACOs CALS ONY Z ran O NES 30 ECACC ANUM DOT shes evapen tea ES 29 SEC ACO YPO oa a E A eae ace naam 28 Settlement Default Cash Accounts cece ceecceeee neon 34 Valid from Cash ACCOUNTS siveiscicsiiccesdecisctsdiceieadetincteiies 34 Valid to Gash ACCOUNTS sic hice cctt erties 34 Securities Cash Preview ccccccssssscccccsssssssscecsceseees 193 Sec rities POSITIONS scsesesescsssessacivacesscazanseveteanseasnwenssateaees 181 Securities Positions fields Date pelan atocsienstue essamwacureataccus A 186 Descriphon ISIN henee AN 185 Description Party BIC
56. EUR 17 412 56 DWP 5AD140812014e001 30 12 2014 ATOOOO720008 1 000 EUR 17 412 56 T a a ATooog72090 SRL T Figure 39 Search Settlement Instructions search result list example cancel Confirm cancellation Confirmation Details Instruction Type DWP Delivery with Payment Customer Reference OcsbDooo000000107 Settlement Date 27 08 2015 ISIN ATOOOOOFACC Quantity 1 000 Currency EUR Amount 1 20 Are you sure you want to cancel this instruction na Figure 40 Confirm cancellation settlement instruction 80 Settlement Instructions CSD GmbH How to Cancel a Settlement Instructions Step by Step 1 In the menu bar select Settlement gt Search Settlement Instructions The Search Settlement Instructions screen appears The system automatically inserts the appropriate predefined values into the fields Settlement Amount Currency all Instruction Type all Transaction Type TRAD Instructing Party BIC inputting party Securities Account all Instruction Status all Task Type all Party Hold Status all CSD Hold Status all CSD Validation Hold Status all CoSD Hold Status all Processing Status all Pending Reason Codes all Match Status all Priority all Partial Settlement Ind all Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system INFO The instructio
57. Each time you switch to the next step the system validates the data entered Mandatory fields must be filled and the information entered has to comply with validation rules Fields filled incorrectly or not at all will be highlighted with a note in red typeface underneath TIP By clicking on a previous step or on the back button in the header or footer of the screen you can add data to previous input steps A detailed description of all fields their interdependences from one another or from master data settings and permit ted input e g numbers text dates length etc is available in the Field Descriptions table The following chapters are a step by step descriptions of how to create a new settlement instruction with instruction type DVP Delivery versus Payment used as example The Settlement Client offers the following eight instruction types RFP Receive Free of Payment RVP Receive versus Payment RWP Receive with Payment PFD Payment Free of Delivery Debit DFP Delivery Free of Payment DVP Delivery versus Payment DWP Delivery with Payment PFD Payment Free of Delivery Credit 37 Settlement Instructions TIP For more detailed background information about the connection to T2S the securities and cash account structure and details on intra CSD cross CSD or external CSD settlement please refer to the Settlement Services Functional Guide The following description and step by step guide for
58. F CDLR Conditional Delivery Awaiting Release F CLAC Counterparty Insufficient Securities CMON Counterparty Insufficient Money CSDH CSD Hold CWAL CSD Validation FUTU Awaiting Settlement Date INEC Incomplete Number Count LACK Lack Of Securities LATE Market Deadline Missed LINK Pending Linked Instruction MONY Insufficient Money NORE No Specified Reason OTHR Other 0 PART Trade Settles In Partials PRECY Counterparty Instruction On Hold M PREA Your Instruction On Hold PRSY System On Hold SBLO Securities Blocked Figure 32 Search Settlement Instructions Pending Reason Codes pop up screen Settlement Parties Delivering Depositoysic id Figure 33 Search Settlement Instructions Settlement Parties 74 Settlement Instructions CSD GmbH More Criteria Priority all Partial Settlement Ind Externally Matched Figure 34 Search Settlement Instructions More Criteria TIP Clicking on search without entering search criteria lists all instructions available in the system To search for a specific instruction s enter criteria in the fields which best characterise the instruction you are looking for 4 2 1 Modifying Settlement Instructions To modify a settlement instruction not displayed in the task list see Processing of Open Tasks or among the Instruc tion Alerts you need to search for the instruction you are looking for Then you can use th
59. N SUMUIGTIOM TYPE ecserin a 176 Intended Settlement Date from nssssseeesssssseeerssssseee 171 Intended Settlement Date to eececccccsssssseeeeeeeeees 171 PIN Soe seniei eece T T E eateries 172 AIT seeste any atne E E E E E 169 CUY TYDE ear E 174 CSD GmbH Receiving Depository BIC ssssnssssseeeesssseeeeessssseeeessss 179 RCE VINE Party DIG shu selandecutunaceasehsstencetiarsastsersenssaanceuses 179 Securities ACCOUNt eesessseeeessssseeeessssseeeerssssseceessssseee 178 Settlement Amount Currency ssssssssssssseeesssssseeerssssseee 175 Settlement Amount from ssssssssssssssensssssseersssssseeerssssseee 175 Settlement Amount 10 cormscnewvadesrcearaeinewennvseisarsessenaienuens 175 Settlement Quantity from ssesseeeensssseeeeessssseseesssssese 173 Settlement Quantity tO eeeensesseeeensssseeeeesssseeseessssseee 173 rade Date MOMisciserinnrana 172 Trede Dato TO csscsievasesadenadeceineainaeageaneguneraimonderassonteraibandes 172 Transaction Typ ssesseeeeessssseeeessssseecessssseeeeessssseeeess 177 Search Allegements menu item esessssssssssssssssssssse 166 Search Intra Position Movement ssssscccsssssees 143 Search Intra Position Movements fields Customer Reference cccccssssssseeecccceeesseeeccceseeassees 153 DESCHID EON ISIN jssssomusssvesieensannciensiverspeisweneessnerieentrenne 157 Effective Settlement Date from cccccsssssseeeee
60. N cerna niia i a 115 Settlement Amount to 182 Search Allegements cccccccssnnssesccccccenssscecccsseeesseess 175 SCAG INSTUCUON accanita iea LIS Settlement Default CAS VACCOUNC oesie aae dete veiapmacaid sdaloebeeies 34 Settlement Quantity GregleWISHWUCHON siecle en 67 Create Intra POsition MOVEMENL sscccccneeseceeeeeeees 135 Settlement Quantity from Search All CQEMECNIS ce iensiiselcateeseaneieciaat a 173 SCA CAIASUUCHON sxcevcesnicon asia vss coven veecantesAvonaaees 113 Search Intra Position MOVEMENTS cecceceecescescese 158 Settlement Quantity to Sear h AN CSCINGING urnis rein arrini aia 173 Search INStrUCTION c cccceccecceccecccccscscescssctcescescescess 113 Search Intra Position MOVEMENTS cecceceecescesceee 158 Settlement Status Search Intra Position MOVEMENTS cccceceecescescese 164 Settlement Type Create Instruction sdateviossectvacesutard cess astscaeladeassaeaeeantens 61 Short only Securities Posting HOINS iciilssscctstesieete ances wenvedersaves 192 Subscription Rules Edit Message Subscription cccccssessseeccccsennssesceeees 207 Sum up Securities Posting IteMS seessesssoeersssssoeerssessseeee 193 T2S Account Number Edit Message Subscription ccccssessseeccccsennssesceeees 206 Task Type Search WISUUCHON excobicincisaudncnphicd scene Mvtccbiased cduadevate 119 Search Intra Position MOVEMENES cccccsesecceeseseeeees 163
61. OVEMENES cccccsseecceeneseeeees 155 Intended Settlement Date to CAST PEV EW soa sasciviaen E A N 197 Intra Position Movement Confirmation Message Subscription Rules ccccccssseecccccceesesseeeeeees 223 Intra Position Movement Status Advice Message Subscription Rules cccccccssesscccescessseeeeeeees 223 Intra Position Movement Four Eyes PHNCIDIC sorsien EE 228 ISIN Create Instruction esseeeeeseeeeeseereeseereeseerssseeresseeresse 66 Create Intra Position MOVEMENL ccccccseeseceeeeesees 134 Search Allegements cccccccssnnsseccccccccnsssesccccseeesseess 172 SCA ON INSTUC ON eee E 112 Search Intra Position MOVEMENES cccccsssecceeseeeeeees 157 Securities POSION 24 ass new AAE 184 Securities Posting IteMS sseensesssoeersssssoeeresesseeeee 189 INGET sorc a Soean aes mee aa 15 Linkage Type LIKIDO aoai ADEE ATEAC AENT 94 Linkages Groate INSTFUCTION masiina niai eA R a 91 Create Intra Position MOVEMENL ssscccceeeesecceeneeees 142 Match Status Create INstr ctiON ariaren A ni ANTEA 74 Search MSUYA 122 Matching Reference Greate INSTUCUON ao a aE ate A es 63 SEAM CANS TUCO er A A 109 MITI Entries F F Create INSTPUCTION vesicusssvssasinersiarstensinntervaianaiansivatenries Create Intra Position Movement ccccccssessseseceeees Search AllegemMentS ccesscccccccssnssseecccccecsssesccceseeess Search INSUUCUON costosi ecien A Search Intra Position M
62. P Corporate Action to search only for instructions of type corporate action MKDW Decrease of Global Cer tificate to search only for instruct tions of type decrease of global certificate MKUP Increase of Global Certifi cate to search only for instruct tions of type increase of global certificate TRAD Standard Instruction to search only for instructions of type standard instruction Selection from all authorised parties Input of the first or two consecutive characters of the BIC then selection from the suggested list INFO If there is only one autho rised party the inputting party no entry is accepted in this field Selection from the securities accounts available for the instructing party if a selection has been made in the Instructing Party BIC field INFO In addition to the securities account number this field shows the BIC of the secu rities account holder CSD GmbH Input Assist Length Selection Selection list BIC 11 after input of the first or of two consecutive character s Selection 35 max alphanum 87 Settlement Instructions 4 2 6 2 OekKB CSD Status Criteria Field Content by system Instruction all Status The system searches for instructions with any in struction status Task Type all The system searches for instructions with any type of task Entry by user Input Assist Selection from the list Selection New to search only for newly created in
63. PFD CRDT PFD DBIT RFP RVP RWP Transaction Types CLAI COLI cOLo CORP ISSU MKD W MKUP TRAD Notifications Securities Settlement Transaction Generation Notification MT548 sese 032 Status Advices Transaction Status Advice MT548 sese 024 Accepted NORE OTHR Pending NORE BLOC BOTH CDLR CLAC CMON CSDH CVAL FUTU INEC LACK LATE LINK MONY OTHR PART PRCY PREA PRSY SBLO Rejected NORE CASH DDAT DEPT DMON DQUA DSEC DTRD ICAG ICUS INVB INVL INVN MINO MUNO NCRR OTHR REFE SAFE SETR VALR Cancelled NORE CANI CANS CTHP Matched Cancellation Requested Cancellation Status Advice MT548 sese 027 Modification Status Advice MT548 sese 031 Confirmations Transaction Confirmation MT544 M1T545 M1T546 MT547 sese 025 ok cancel Figure 71 Message Subscription Rule example edit Settlement Instruction Rule How to Modify a Message Subscription Rule Step by Step 1 In the menu bar select Administration gt Message Subscriptions The Search Message Subscription screen appears 2 Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all message subscriptions matching your search criteria appears 147 Message Subscription 4 Inthe row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions allow you to modi
64. Partial Settlement Ind Priority MITI Partial allowed Partial allowed Partial allowed Partial allowed Partial allowed Partial allowed Partial allowed Partial allowed Partial allowed Partial allowed 1 Click on the icon Normal Normal Normal Normal Normal Normal Normal Normal Normal Normal MIT141009031c001 MIT141009031a001 MIT141009031d001 MIT141009031b001 Released Released Released Released Released Released Released Released Released Released Released Released Released Released Released Released Released Released Released Released CekBP CSD GmbH Close extended search results X 1 Released Released Released Released Released Released Released Released Released Released il Quantity Currency i Settlement Amount Pending Status Match Status Party Hold Status Processing Status CoSD Hold Status CSD Validation Hold Status CSD Hold Status Close extended search results sa 1 Common Reference Restriction Linkage Transaction Type Cum Ex Indicator Opt out Indicator Ext Matched no no no no no no no no no no no no no no no no no EE g no no no no no no no Extend search results left above the search result list The table is expanded to show all columns available for the current type of record 2 You have the follo
65. Position MOVEMENES ccccceseecceeseeeeeees 164 Proprietary Identification Create Instruction iactecsnsnccncivstcteceustecacleincdedtesascetivesatsek 85 Proprietary Issuer Create VIS UCT ON mririseroriiisiirerii iiai i a 85 Proprietary Scheme Name Greate INSUUCUON aizeceitnzssicessaadsieususbaseesieiehewemsbaeesneten 86 Purpose Cas PICVICW saver tessseceversscssbiaiae nesanerteaneneencsees 196 Securities Posting ICTS ss iisiscassvensciaresenasawasesesaneseeasans 191 Quantity Type CCAS INSUUCUOI sisisi insae r NETER 68 Create Intra Position MOVEMENL sccccccseeseceeeeeeees 136 Search Allegements ccccccccssenssecccccccensssesccccseeasseess 174 SOA CGI SUMUICUON vcccceuacsccterneisectonsteaataeisenseustsealoveliie 114 Search Intra Position MOVEMENES cccccssseceeeseeeeeees 159 Receiving Depository BIC Search Allegements sisinsapsasivscsneseneansentvadaceanedes stivsdues 179 SOC SUI CUIOI ercer iiiad i e ountonaddeans 122 Receiving Party BIC Search Allegements cccccccsssnsseccccccccnssseeccccseeasseess 179 OAC TSU UCT OM ercsecieanusedueGinasQisuanse tan Goneetenianedtebtane 123 Reference Owner BIC LINKAgES ccecsssseseceeeeeeeeeeees 95 Reference Type Linkages cssceccccccesssseeecceseeeeeees 94 Reference LINKAQES ccccccccsssssseeccceceesseececceseeeseees 95 Restr Type Balance From Create Intra POsition MOVEMENL sscccccsseseeeeeneeees 139 Search Intra
66. Position MOVEMENES cccccsesecceeeeeeeeees 161 Restr Type Balance To Create Intra Position MOVEMENL 1scccccceseseceeeneeees 141 Restriction Reference Search Intra Position MOVEMENES cccccseseceeeneeeeeees 154 Restriction Reference Restr Type Balance From Create Intra Position MOVEMENL sccccceeseseceeeeeeees 140 Restriction Reference Restr Type Balance To Create Intra Position MOVEMENL sccccccseeseceeeeesees 142 Restriction References Use OF REST ICUONS vscdgvacevosisvesiedttecteensnecesnecseeseesieveescn 92 OQ Entries F F Restriction Type Use of RESIICTIONS resite AAA AE ATAA 92 RFP FOUP EVES PINCI Enri e EE T E OE EEA 228 Rule Name Message Subscription Rules cccccccsssssseeccceeesnseeeees 216 Rule Type Message Subscription Rules ccccccssesssesccccsenesseees 216 RVP FOUR EVES PHNCIDI E o ras a ar AREA O 229 RWP FOUrF EVES PHDCIDIE erraien a EE E O E 229 Sec Acc Category Securities Account Detalls c cssccccccssenssseeccccsceeseees 30 Sec Acc Number Four Eyes PHNGCIDIC scx cies TA e E E dene 228 Securities Account Detallls cccccccsesseccceeseccceensecceeees 29 Sec Acc Type Securities Account Details ccccccseeseccceeseccceenseccenees 28 Securities Account CaS FEOV OW atr A AE oaeee 195 Greate INSU UCU Ol aiarra itna AAT AAA 64 Create Intra Position Movement c scsccceeeeeeeceeneeees 133 Edit Message SUDSCLIDUION
67. RAD BIC of the inputting party Auto Complete After input of the first or two consecutive characters of the BIC the system sug gests a list of BICs The complete list of all parties available in the system is displayed after putting the cursor into the field and hitting the arrow down key on the keyboard Entry by user Selection from the list all to search for allegements with any transaction type a CLAI Market Claim to search only for allegements of type market claim COLI Collateral credit provider to search only for allegements of type collateral credit provider COLO Collateral credit con sumer to search only for allege ments of type collateral credit consumer CORP Corporate Action to search only for allegements of type corporate action MKDW Decrease of Global Certi ficate to search only for allege ments of type decrease of global certificate MKUP Increase of Global Certifi cate to search only for allege ments of type increase of global certificate TRAD Standard Instruction to search only for allegements of type standard instruction Selection from all authorised parties Input of the first or two consecutive characters of the BIC then selection from the suggested list INFO If there is only one authorised party the inputting party no entry is accepted in this field Input Assist Length Selection Selection list BIC 11 after in
68. S eeeeecceeceeeeeeees 93 Settled Amount field Create Instruction screen cssccccsssseccceeseccceeeseeeeeees 70 Settled Quantity field Create Instruction Screen cssccccsessecccceeseccceeeseeceeees 68 Create Intra Position Movement screen s0eccceees 136 Settlement Amount field Create Instruction Screen cscccccsesseccceeseccceeesecceeees 68 Settlement Amount Currency field Create Instruction Screen ccscccccsssseccceeeseccceeeeeceeees 69 Search AllegeMents screen ssccccccccsessseeecceseeeseees 175 Search INStructiOn SCLEEN cseccccessscccceesecceeeeseeceeees 115 Settlement Amount from field Search AllegeMents screen sccccccccesssseeeeceeeeeseees 175 Search Instruction screen sccccceesscccceesecceeeeseeceeees 115 Settlement Amount to field Search Allegements screen nsssssseeesssssseerrssssseeerss 175 Search Instruction screen sesssssssseeesssserssseeresseeersseeees 115 Settlement Client definition ooeesssosooooocsssssssssssseoo 13 Settlement Default field Cash Account pop up didl0g cccccccssssssseeecceseeeeeees 34 Settlement Instruction Summary ccccsssssscceeeeeeees 54 Settlement Parties step create MSEC TOW aes cctacssainsiealtananracessadesccns E 50 Create Instruction field descriptions ccceccceceseeeeeees 75 Settlement Quantity fi
69. Search Intra Position Movements screen cc00008 156 entry pag esiisa E E 23 Erase field Four Eyes Principle SCreen ssssseeccceccesssseeeeeeeeees 228 Excel Download Dutton sssssssseccecsssssssssssssseeeeesoosssss 17 extended list vieWw essssseecsssecccsseeccsseeccsseecosseeccssseeeosee 43 extended Search resullts ccccssccccsssccsssscccssssccsssccsees 43 Externally Matched field Search Instruction Screen ccccceesseccceesseccceeesecceeees 124 F failed onien n i a 39 field Add Delivering Party Greate MsSirUCUON aeiee ea aaa nde EE EE ETE EEA 75 87 Add Receiving Party Create Instruction sssesssensesensesessesessesessesessese 76 86 Additional Information CSD Hold Status Greate MStruUCtiON measa aina A AA Aa Z3 Additional Information Party Hold Status Create MSr ctiON sssusa e a 72 Alleged Party BIC Search Allegements fate ccasseeivnscnenvdes nen waceeucdoronevenss 177 Allegement Cancellation Advice Message Subscription Rules cccccccsseesscceccesssseeeeeees 225 Allegement Notification Message Subscription Rules ccccsssssccccccssenssesceeees 224 Allegement Reference Search Allegements ssensesssoeeenssssseeerssssseeeresssseeeee 170 Allegement Removal Advice Message Subscription Rules cccsssssccccccsseesseeceeees 224 Alleging Party BIC Entries F F Search AllegemMentS sccsscccccccssnssscscccccccnsss
70. Settlement Client User Manual Version 2 0 October 2015 O CSD GmbH Copyright All rights reserved Reproduction of text and data inclusive storage and usage on optical and electronic media is only allowed as agreed in contract or with the prior consent of Oesterreichische Kontrollbank AG The usage of data inclusive the insertion of this data in online services databases or websites by unauthorised third persons is prohibited Content Content 1 Document Versions and History of Changes 2 About the Manual 2 1 Structure of the Settlement Client User Manual 2 2 Visual Cues in the Settlement Client User Manual 2 2 1 2 2 2 2 2 3 2 2 4 2250 Tip Boxes 10 Information Boxes Notes Boxes Step by Step Instructions Typographic Conventions 3 The Settlement Client 3 1 Login 3 2 Logout 3 3 Fields Buttons and Icons 3 4 The Entry Page Home 3 4 1 3 4 2 3 4 3 3 4 4 The Menu Bar Securities Accounts List 3 4 2 1 Icons Used in the Securities Accounts List 3 4 2 2 Actions in the Securities Accounts List 3 4 2 3 Securities AccountDetails 3 4 2 4 Field Descriptions Securities Account Details 3 4 2 5 Field Descriptions Cash Accounts Securities Account Details Search for ISIN The Task Box 3 4 4 1 Working With the Task Box 3 4 4 2 Authorisation of Tasks According to the 4 Eyes Principle Tasks waiting for approval 3 4 4 3 Processing of Open Tasks Tasks waiting to process 3 4 4 4 Instruction A
71. X 0CSD222200 SAD141009031c001 OCSDATWWXXX DEUTDEFFXXX MGTCBEBEXXX 29 12 2014 30 12 2014 DVP BAWAATWWXXX BAWAATWWXXX 0CSD222200 AD141009031a001 OCSDATWWXXX DEUTDEFFXXX MGTCBEBEXXX 29 12 2014 30 12 2014 RVP BAWAATWWXXX BAWAATWWXXX OCSD222200 AD141009031d001 OCSDATWWXXX DEUTDEFFXXX MGTCBEBEXXX 29 12 2014 30 12 2014 DVP BAWAATWWXXX BAWAATWWXXX OCSD222200 SAD141009031b001 OCSDATWWXXX DEUTDEFFXXX MGTCBEBEXXX 29 12 2014 30 12 2014 RFP BAWAATWWXXX BAWAATWWXXX OCSD222200 GRA141015002p001 OCSDATWWXXX DEUTDEFFXXX MGTCBEBEXXX 29 12 2014 30 12 2014 RFP BAWAATWWXXX BAWAATWWXXX OCSD222200 GRA141015002a001 OCSDATWWXXX DEUTDEFFXXX MGTCBEBEXXX 29 12 2014 30 12 2014 RFP BAWAATWWXXX BAWAATWWXXX OCSD222200 GRA141015002b001 OCSDATWWXXX DEUTDEFFXXX MGTCBEBEXXX 29 12 2014 30 12 2014 RFP BAWAATWWXXX BAWAATWWXXX 0CSD222200 GRA141015002c001 OCSDATWWXXX DEUTDEFFXXX 28250 29 12 2014 30 12 2014 EaR RFP BAWAATWWXXX BAWAATWWXXX OCSD222200 GRA141015002d001 OCSDATWWXXX DEUTDEFFXXX Euroclear Luxemburg 29 12 2014 30 12 2014 Instructions 1 10 of 5633 Rows per page 10 25 50 100 Figure 17 Search result list extended search results 1 example Search Settlement Instructions 1 2 3 4 5 6 7 564 next The Settlement Client KBO CSD GmbH Settlement Instructions Extended Search Results il Int Settlement Date Eff Settlement Date ISIN 13 10 2014 30 12 2014 30 12 2014 30 12 2014 30 12 2014 30 12 2014 30 12 2014 30 12 2
72. Y during Create automatically Edit Detail View g completed by The date of the trade the system date Intended All Create Date of the settlement date may be DD MM Settlement The date two bank days up to 60 calendar days in the past YYYY Date after the current date and up to 30 calendar days in the Mandatory field future during Create Edit Detail View automatically completed by the system The settlement date on which the settlement of the instruction was intended 57 Settlement Instructions Field Instruction Type Content by system Entry by user Length Effective All Create DD MM Settlement E YYYY Date Edit Detail View In case of settled in structions the date of the day when the in struction was actually settled T2S Status Information Party Hold All Create Selection between Hold or Status The default value for the Released Mandatory field securities account By selecting Hold it is possible to during Create specified in the master send a preadvice instruction data Edit It is possible to select a different Party Hold Status when editing an instruction In case of status Hold the instruction is also displayed as an entry below Instruction Alerts in the task box Detail View Released or Hold Party Hold All The designation of the z Status displayed status Additional Information CSD Hold All Create Status This field is not displayed in the Create screen Mandat
73. aa Click on hide update to display the record without the modifications made The record is displayed as it was before the modifications ab Click on refresh to display new real time data received in the system 30 The Settlement Client CSD GmbH ac Click on abort to discard changes which have been rejected during 4 eyes principle authorisation by another user or by T2S and to reset the instruction or the intra position movement to the status before the changes were made ad Click edit to open the Edit screen of the record see b1 ff INFO The system only displays the edit button if your user permissions allow you to modify data af Click on PDF Download to display and maybe save the record in PDF format b1 In the row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions allow you to modify data b2 Modify the record as required b3 Click save to save your changes The changes are saved and submitted to the system for processing or for 4EP authorisation INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box b4 Click ok to return to the search result list c In the row containing the record to be cancelled click on the X icon The record will be deleted and will no longer be displayed in the search result list 31
74. aa E E a uenc cca secahasaeesaeces es 16 close applicatio Mm csscesinsseiscnnnssesdsedetsensesscosdsnsntesesecsseaeeesets 14 Close DUTTON aes sissies si cseccssicnnasasasennaiess aa e a S 17 Closing Date field Securities Account Details screen cccccceeseeceeeeeees 30 Common Reference field Create INStruction SCIEN ccccceesscccceesseccceeescceeeeeees 89 CONIC arua aicseek ess tees hi caoel waster ceed aiesens ceicboniouiees 23 counter instruction sssessesseeccsseeccosseeccsseeccsseeccsseeeooo 168 Create Intra Position Movement fields Customer Reference e sssssssssssesreeeceressssssssesrreeeeeeeess 131 Description Instructing Party BIC sssssseennssssseeessssss 133 Desernpion ISIN vcs saaa Ti 135 Description Securities Account sssssseeesssssseeerssss 134 Effective Settlement Date ccsssssssssssssssseeceeeeees 137 field next to Settlement Quantity cc eeeeeeeeeeeeees 136 INStructinie Party BIG niia e E a a nE 132 Intended Settlement Date enessssssssssseeeeeeresssssssse 137 USING sonnis s dertidenansssiceaedariescaunsyobes 134 LINKI rgsa o A E S 142 KA e ad eee aed aa teen cae esa se eee 132 PrO Y at AEN E 138 Quantity TYPO a5 ieee E A T A 136 Restr Type Balance From ccccsssssccccessseccceseeees 139 Restr Type Balance ToO ssssseesssseesssssesssseesssseeessssees 141 Restriction Reference Restr Type Balance From 14
75. act your contact person at Oesterreichische Kontrollbank AG Thy Citrix Onli ne Plugin 12 or OeKE CSD GmbH idii TOP OeKB Oesterreichische Kontrollbank AG 2015 Privacy Policy Disclaimer Figure 1 Login Portal for Online Services of the OeKB Group After login the Settlement Client is listed among the services activated for you Click on the link to launch the Settlement Client The Settlement Client will open in a separate window of your web browser The Settlement Client CekB P CSD GmbH DEUTSCHE SEITE Change password Logged in Mrazek Karoline amp Logout o pee Login Portal You are authorised to use the IT services of Oesterreichische Kontrollbank AG OeKB and OeKB CSD GmBH indicated below To access a service click on its name Please contact your company s in house administrator if you need further authorisations If OeKB is managing your company s Users please contact the competent Service Center News 3 10 2014 New Conditions of Use for the OeKB Login Portal The new Conditions of Use for the OeKB Login Portal are valid after April 4th 2014 If you agree to the new Conditions of Use no further action is required for questions please contact us OeKB Services Se ear OeKB CSD Services Custody Service Center i Mo Fr 08 00 a m 05 00 p m Ao 53127 2010 gt Settlement Client Testsystem sekb at a 1 53127 1313 OeKB Oesterreichische Kontrollbank AG 2015 Privacy Polic
76. age Subscription Rule Party BIC Description Securities Account Destination BIC Notifications W Allegement Notification MT578 sese 028 Status Advices W Allegement Removal Advice MT578 sese 029 W Allegement Cancellation Advice MT578 semt 020 cancel ok Figure 77 Message Subscription Rule Allegement How to Add a New Message Subscription Rule Step by Step 1 In the menu bar select Administration gt Message Subscriptions 152 The Search Message Subscription screen appears 2 Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all message subscriptions matching your search criteria appears 4 Inthe row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions allow you to modify data 5 Click on the add button at the bottom of the Subscription Rules list The Message Subscription Rule screen appears 6 In the field Rule Name enter the designation of the new subscription rule 7 inthe field Rule Type select the type of subscription rule you want to add The system displays the additional parameters available for the selected type of subscription rule Message Subscription CSD GmbH 8 Activate or deactivate the check boxes of the parameters as they shall apply to the
77. al allowed Ind rities account master data Instructions with the partial settle ment indicator Partial not allowed will not be partially settled Edit It is possible to select a different Partial Settlement Indicator when editing an instruction Detail View Partial allowed or Partial not allowed Cum Ex All Create Selection between CUM or EX Indicator Input request please With a Cum Ex Indicator selected select this field becomes a matching criterion For details see Settlement Services Functional Guide Edit Detail View CUM or EX Opt out All Create Selection between yes or no Indicator Input request please select Edit Detail View yes or no With an Opt out Indicator selected this field becomes a matching criterion For details see Sett ement Services Functional Guide 67 Settlement Instructions Field Instruction Type Common All Reference Narrative All Trade Details Restrictions Linkages All 68 Content by system Create Edit Detail View The common referenced used to identify the set tlement instruction or the currency and amount entered by OeKB CSD for multicurrency settlement instructions Create Edit Detail View The text entered during creation Create Edit Entry by user The common reference to identify the settlement instruction In case of multicurrency settlement instructions the OeKB CSD uses this field to enter the currency and
78. al restriction type BLK n 0 9 position labelled as ear marked in an intra position move ment 115 Intra Position Movements Field Content by system Restr Type all Balance To The system searches for intra position movements with any intended restriction type 116 Entry by user Selection from the list Input Assist Length Selection AWAS freely available to search only for restrictions of the intended restriction type AWAS position not yet allocated to an intra position movement COSP Conditional Settlement Delivery reserved for instruct tions settled externally to search only for intra position movements of the intended restriction type COSP position labelled as reserved for instructions settled externally in an intra position movement BLOn Blocking blocked to search only for intra position movements of the intended restriction type BLO n 0 9 position labelled as blocked in an intra position movement RESn Reserved reserved to search only for intra position movements of the intended restriction type RES n 0 9 position labelled as reserved in an intra position movement EARn Earmarking earmarked to search only for intra position movements of the intended restriction type BLK n 0 9 position labelled as ear marked in an intra position movement Intra Position Movements 5 2 8 2 OeKB CSD Status Criteria Screen Section Field C
79. all authorised parties Input of the first or two consecutive characters of the BIC then selection from the suggested list INFO If there is only one autho rised party the inputting party no entry is accepted in this field Selection from the securities accounts available for the securities account holder BIC of the party specified as the in structing party in the message sub scription s to be found Input of the first or two consecutive characters of the BIC then selection from the suggested list BIC of the party specified as the receiver of messages in the message subscription s to be found Input of the first or two consecutive characters of the BIC then selection from the suggested list Activation of the check boxes of all message types which you want the system to look for so you can modify them Input Assist Selection list after input of the first or of two consecutive character s Selection List of available parties List of available parties BIC 11 Message Subscription 9 1 3 Party BIC Party BIC Description Securities Account Destination BIC Instruction Format Mandatory Field automatically completed by the system Branch T2S Account Number Subscription Rules Content by system BIC of the holder of the securities account defined in the selected message subscription The designation of the securities account holder Securities account
80. approved by a second person Billing u Billing The billing module will be implemented in the system at a later date A description will then be added in the manual accordingly 162 Reporting CekBo CSD GmbH 12 Reporting The reporting functionality will be implemented in the system at a later date A description will then be added in the manual accordingly 163 User Roles and User Permissions 13 User Roles and User Permissions The following user roles with the associated user authorisations provide access to menu items and functionalities of the Settlement Client Settlement Client FOP User Settlement Client FOP Releaser Settlement Client VP User Settlement Client VP Releaser Settlement Client Physical User Settlement Client Physical Releaser Settlement Client Read only Settlement Client Administrator Settlement Client Billing NOTE User permissions and user roles are assigned by each customer s system administrator outside of the settlement Client 13 1 Settlement Client FOP User Main Menu Menu Item Permissions Home Screen Home Screen Securities Accounts Link to Create Settlement Instruction Overview Link to Create Intra Position Movement Link to Search Settlement Instruction Link to Search Intra Position Movement Link to Search Allegement Link to Display Securities Account Details Link to Display Securities Positions Link to Display Securities Postin
81. ary Information and the Name and Address field are disabled If the Proprietary Information or a Name and Address are entered this field is disabled Edit Detail View The BIC of the client selected during creation BIC All The name of the party Description entered if known in the system Securities All Create Securities account of the client 35 max Account alphanum Edit Detail View The securities account of the client selected during creation 63 Settlement Instructions Field Instruction Type Content by system Entry by user Length Name and All Create Identification of the client 35 max Address If the name and address are entered alphanum the field for the Proprietary Information and the BIC field are disabled If the BIC or the Proprietary Information are entered this field is disabled Edit Detail View The identification of the client selected during creation Proprietary All Create ID of the client in the client s 35 max Identification proprietary system alphanum If the proprietary identification is entered the BIC field and the Name and Address field are disabled If the BIC or the Name and Address are entered this field is disabled Edit Detail View The ID of the client in the client s proprietary system selected during creation Proprietary All Create Issuer ID in the client s proprietary 35 max Issuer system alphanum If the proprietary issuer is entere
82. ated modified or cancelled instructions of the type RFP will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions of the type RVP will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions of the type RWP will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions of the type PFD Debit will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions of the type DFP will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions of the type DVP will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions of the type DWP will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions of the type PFD Credit will be displayed in the Tasks waiting for approval section of the task box until they are
83. ccccrssssssees 47 DVP field Four Eyes Principle screen jacccssiscalackivetesisseelasvaesiats 229 DWP Delivery with Payment eessssssssescccssssescccossseee 47 DWP field Four Eyes Principle screen sssssseeccccceessseeecceseees 229 E edit ALEC SIN CMU onae a E EE A 168 178 Message SuDSCTIptiOn cccccccsssssseeeccceseeeeeees 201 207 Settlement Instruction ceseccccesecccceesecccceeseceeeenees 99 edit ICOM cii eereadewe teases 21 Edit Message Subscription fields Brane inara easy sien cre eam sae sits OOA 206 Description Party BIC sssesseessssseeeersssseceersssseeeeressss 205 Destination BIC src ciie Batic Bie estes 205 LAS ERIC TOM FONG ernie a 206 PANY BIG rar A oelotesnuntesbsovensiees 204 SEGUES ACCOUN oreinen nna kiA ENNEN NENEA NANY 205 SUDSCHIDUOM RUGS seere ea T 207 T2S Account NUMDEL ccscccccessecccceesecceceeecceceeeees 206 edit DUTLON anesan vivsteaenseaeeseiaierieed estes 17 Effective Settlement Date field Create Instruction screen cccccceesecccceessecceeeescceeeenees 7 1 Create Intra Position Movement screen 0 cceeees 137 Effective Settlement Date from field Search Instruction screen cccesecesscesscessceeseeecs 111 112 Search Intra Position Movements screen ccc000 156 Effective Settlement Date to field Search Instruction Screen ccccceessecccceeseccceeeseeceeees 111
84. cccseessseeeceeseees 229 RWP Receive with Payment ccccccssssssscccccessssssees 46 RWP field Four Eyes Principle screen csssssececccceessseeeceeseees 229 S Save DULOT sscssasecexedsassoncsonnnncecosenndasesienxononsuasssowstscaastaeacess 18 screen section Linkages Create IIS TOCH ON vn sasivvnnenSonisparveesisiuuliessncdntornovseCuntoouees 91 Create Intra Position MOVEMENT sccccccsssssseeeceeees 142 WSC OF IRESEMICHONS reiser inar E 90 search PANVOS CHIACUIE sasoian an E 166 Intra Position MOVEMENTS cccccssseseeccceceeeeseeeeceeeeees 143 Message Subscription cccccccssessseeecceeeessseeeceeseees 199 Settlement Instructions sssssseeesssssseeesssssseeerssssseeersssss 96 Search Allegements csssssscccccssssssssscccccssssssssccoes 166 Search Allegements fields Alleged Party BIG coigsssasvenwsorscoivesesnoivideasGuneverecavconcaeases 177 Allegement Reference scccccccceessseeecccseeeseeeeeees 170 PAC PING Party BIG zenconensiininn 178 Customer Reference cccccccssssssecccccceenseseecceseeaseees 169 Delivering Depository BIC ccceeeeeeccceceeesseeeeeeeeeees 179 Delivering Party BIC eeccccccccesssseeeccecseeeseeeceeeeeees 180 DESCHD EON SIN serrer sanen ene 173 field next to Settlement Quantity ee eeeeeeeeeees 174 SENG IO Mo aLUS lt isacysesatesnmnanunsnarsntanionsuieswroniaenoreatamwns 178 L
85. cceeeseeceeees 46 Four Eyes Principle cssssccccccccsssseeeccceeeesseeecceseees 226 Message Subscription ceecccccccceesseeeecceeeeeeseeeeeeeeeees 199 Search AleSeMents cccccccsssessssccccceeesssececccseeeeees 166 Search Intra Position MOVeMents ccssseccceeeseeceeees 143 Search Settlement Instructions ccccccessseccceeeseeeeeees 96 Secuies POSION ucerincsinannen 181 Securities Posting IteMS ssssccccccccessseeecceseeeseees 187 pos 410 1 9 c aaa ree ee ee Oe 46 125 Menmi Leris sescsataseta seeps ccasacacecsstcoetensetadetescersccnsatacecsstiesenssces 24 Message SubSCription ccccccsssssssccccccssssssscccceseeees 199 SSM AENOR ES A A ETE TE 199 Message Subscription Rule GIS E E PEEN E EENE A E E E 211 AO O aar A E E EET 209 CO A EE eee er ree 207 MOOY ensinei oi iA n a TOEO ER 207 Message Subscription Rule fields Allegement Cancellation Advice nssssseeenssssseeeesssss 225 Allegement Notification ccccccccsssssseeeccceeessseeeess 224 Allegement Removal Advice ccccssessseeecceseesseseeeees 224 Cancellation Status ACVICE cccccssecccceeseecceeeseeceeees 221 Description Party BIC siisisscssccseeiessssdcsevseserdevesedebeseceectens 215 PS SU UIC DIO seaccapsiecea cee tavatcsenansacet EE 215 Instructing Party BIC eccccccccsssseeeeeeeeeeeeeees 216 222 Instruction Types ssccsassasavavanancinnsascoavensasoesdvav
86. ccount field Create Instruction screen csccccceessecccceeseccceeeeceeeees 65 Create Intra Position Movement SCreen 0eccceees 134 Securities Account Details SCr N cceeeecceeeeseeeeeees 29 Description Securities Account Receiving Delivering Party field Create Instruction screen eeeeessessssssssssreeceeressssssssee 82 Destination BIC field Edit Message Subscription SCreeN ccccsseeeeeeeeeeeeees 205 Message Subscription Rule SCreen ssseeeeeeeeeeees 215 Search Message Subscription SCrEeN ccccceeseeeees 203 details ICOM s sessessccc isesi eni sasasi iiaa 20 DFP Delivery Free of Payment sssssssssssceeeeeeeeees 46 DFP field Four Eyes Principle screen ssssseeccccceessseeeceeseees 229 display eld six sca catse duc etasuvacs handsets cvxssonecuevausdcocsoastentyaeseans 15 GISDIAY ICON assie E 20 display of securities POSITIONS cccccccccrrrrsesssseees 181 display of securities posting items eesssosssssssssseee 187 double line with arrow pointing UP sssssscceceeeeees 20 COUDIE TICK oirra a a 20 download as Excel button sssssssssssssessscccccssssssssssese 17 download as PDF button essessssssssssssscscccccssssssssssese 17 dropdown field onurei 16 dual COMTEON isis cessaesnceeasess caxetvssevessn E 37 226 DVP Delivery versus PayMent ccccssssssc
87. corresponding search result list showing instructions or intra position movements which have not been processes completely There are several reasons why instructions may be open The record has been rejected during authorisation according to the 4 eyes principle The record has been rejected by the system ea UCL Pou oth po a eee Restr Type Balance From au Resu ypo onance To all gt OeKB CSD Status Criteria Instruction Status all User Processing Task gt 125 Status Criteria search p 10 Instr Party BIC Sec Account Customer Ref Settl Date ISIN Quantity Status BEKAUATWWXX OCSD 777100 OcCsSbo0o000000013 17 12 2014 ATOOO03 63864 10 000 FAMT New ox 10 Figure 14 Processing of open tasks example intra position movements Status Description approval rejected The release of the instruction or intra position movement has been rejected during authorisation according to the 4 eyes principle rejected The instruction or intra position movement has been rejected by the system failed Processing of the instruction or intra position movement in the system has not been successful How to Process Open Tasks in the Search Result List Step by Step 1 You have the following options a In the row of the record you want to modify click on the Details icon to open the detail view You have the following options NOTE Not all button listed below may be available in all detail views
88. count in the respective row Securities Accounts Party BIC Sec Acc Number Description OEKOATWWAXA OCSD1111111 OEKOATWWAXX OCSD1111112 OEKOATWWARAA OCSD1111117 m Figure 6 Securities Accounts list Home Securities Accounts mber Description Ait x Contacts lement Service Center 1112 Fr 08 00 a m 05 30 p a gt Create Intra Positon Movement gt Search Intra Positon Movements gt Search Allegements gt Display Secuntes Positions gt Display Secuntes Posting Items gt Display Secuntes Account Details Figure 7 Securities Accounts list processing options Home Securities Accounts 3 4 2 1 Icons Used in the Securities Accounts List Icon Function Clicking on this icon shows the processing options available for the securities account in the respective row 22 The Settlement Client CSD GmbH 3 4 2 2 Actions in the Securities Accounts List The Securities Accounts list shows all functions available to you for each of the securities accounts listed in the Securities Accounts list Depending on your user permissions some of the actions shown below may be missing in your version of the client Create Settlement Instruction see page 37 Search Settlement Instructions see page 72 Create Intra Position Movement see page 92 Search Intra Position Movements see page 103 Search Allegements see page 120 Display Securities Positions see page 128 Display Securities Pos
89. criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all message subscriptions matching your search criteria appears 4 Inthe row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions allow you to modify data The Edit Message Subscription screen appears 5 In the row of the record you want to delete in the Subscription Rules list click on the X icon 6 Click yes in the pop up dialog The message subscription rule is deleted The Edit Message Subscription screen appears again 7 Click save to save your changes At the top of the screen the system displays a confirmation as soon as your modifications have been saved 149 Message Subscription 9 2 3 Adding a New Message Subscription Rule You can create three types of message subscription rules rule type Settlement Instruction fig 74 Intra Position Management fig 76 Allegement fig 77 Message Subscription Rule Message Subscription Rule Party BIC Description securities Account s i Destination BIC r Rule Name ite Hp Settlement Instruction Instructing Party BICs Instruction Types DFP DVP DWP PFD CRDT PFD DBIT RFP RVP RWP Transaction Types CLAI COLI coLo CORP ISSU MKDW MKUP TRAD Notifications Securities Settlement Transaction Generati
90. curities Posting Items SCIreeN csesseeccceeeeeeseees 193 T T2S Account Number field Edit Message SuDSCTIPtiOn cseesecccceeeesseseeeeeeeeees 206 table VOWS ICON wsdsccisecciecd coccce ccs dseasscatneteshiceceivestesseseeiiexeiss 20 TASK DOX is cissdessssuccsnscisusedicasesenscdavsvisetncsvaxecssaviawsdssvascdesvadeds 37 task list alert reason F gia g 0 0 E E E Te reine Ts seer 4 open tasks eee ceseccccceesseccceeeescccsaesscceseaeseceseeeseess 39 status approval rejected os xcerrasavecscnaatactrasencesendehetaassretinaeteess 39 TACO EEEN OEE S N E E A E 39 O E E E AET 39 Task Type field Search Instruction Screen sssssseessssssseersssssseeerssssseee 119 Search Intra Position Movements screen 000008 163 Taskbox ial sf oa nee ee eee 38 Tasks waiting for approvall cccccccssssssssssssssscccccceesseees 38 Tasks Waiting tO process ccccsssssscccccccsssssscecccsesesssees 39 DUC oe A EEA EE E E 16 TICK OUD C vcsrssrescstcrsuntetarsentetanseeteasurenteterventetavienietaneeriase 20 UD DOK soc css cacncesanavscanaestousaansisasmanaiowannnshsonsasasaussanavdensanasaoaanee 11 top function TINK secsicsiicctacsssesscctscccescssucstacesteaiceposssocinavinais 22 Total Number field Create Instruction screen LINKAGES cccceeseeeeeeeeees 93 Trade Date field Create Instruction screen ccccccccssessseeccceseeesseeeeess 70 Trade Date from f
91. d BIC as message receiver in the selected message sub scription Rule Name Unique designation of the subscription 30 rule alphanum Rule Type Input request please Selection from Settlement Selection select Instruction Intra Position Movement or Allegement 153 Message Subscription 9 2 4 1 Field Instructing Party BICs Instruction Types Transaction Types Notifications DFP DVP DWP PFD_CRDT PFD_DBIT RFP RVP RWP CLAI COLI COLO CORP ISSU MKDW MKUP TRAD Securities Settlement Transaction Generation Notification MT548 sese 032 154 Settlement Instruction Rule Type An Active Ticked Check Box Means The subscription rule will apply to the selected BIC s of the authorised parties of the holder of the securities account Messages from DFP settlement instructions will be received Messages from DVP settlement instructions will be received Messages from DWP settlement instructions will be received Messages from PFD Credit settlement instructions will be received Messages from PFD Credit settlement instructions will be received Messages from RFP settlement instructions will be received Messages from RVP settlement instructions will be received Messages from RWP settlement instructions will be received Settlement messages from market claims will be received settlement messages from collateral instructions credit provider will be receiv
92. d the BIC field and the Name and Address field are disabled If the BIC or the Name and Address are entered this field is disabled Edit Detail View The issuer ID in the client s proprietary system selected during creation 64 Settlement Instructions Proprietary Scheme Name Add Receiving Party or Instruction Type DFP Delivery Free of Pay ment DVP Delivery versus Pay ment DWP Delivery with Payment PFD Payment Free of Delivery Credit Content by system Edit Detail View The name of the scheme used by the client s proprietary system selected during creation BIC Depository of the Receiving Party de pository of the inputting participant BIC Securities Account Receiving Party BIC and secu rities account of the inputting participant CSD GmbH Entry by user Length Name of the scheme used by the 35 max client s proprietary system alphanum If the proprietary scheme is entered the BIC field and the Name and Address field are disabled If the BIC or the Name and Address are entered this field is disabled Create Additional Receiving Party as re quired Clicking on the link opens the following screen sections in consecutive order Receiving Party 3 Receiving Party 4 Receiving Party 5 A maximum of 5 participants can be entered NOTE Enter the receiving party in the section Receiving Party first before you enter additional receivin
93. d restrictions in the pool are not settled as well and receive an appropriate Pending status How to Enter a Pool Linkage Between Several Instructions Step by Step 1 In step 3 Additional Information of the Create Settlement Instruction screen open the drop down screen section Linkages To do so click on the Linkages function link see fig 26 The drop down screen section Linkages appears see fig 27 2 Click on the add button The pop up dialog Linkage appears see fig 28 3 In the field Linkage Type select the type of linkage With or leave the default selection unchanged NOTE Pool linkages only allow the selection With or the default selection in the field Linkage Type 4 Inthe field Reference Type select the type of reference Pool ID 5 In the field Reference enter the common pool reference all instructions and restrictions in the pool shall share 6 Click ok in the Linkage pop up dialog to return to the Create Settlement Instruction screen 7 inthe field Sequential Number enter the current consecutive number of this instruction or restriction within the pool 8 In the field Total Number enter the total number of all instructions or restrictions linked with one another in the pool 9 Continue entering the Settlement Instruction 49 Settlement Instructions 4 1 5 3 Entering a Linkage Between an Instruction and an Intra Position Movement Position Linkage There are three ways to connect an instruction wit
94. desbansduucnioendenay somes 203 Instructing Party BIC oo ceccccccsssssseeeceeceneseeeceeeeeees 203 Pany DIG sinire inn E E A AAA 202 Securities ACCOUNT cape corpesoneunenterdtieontconecoinuasnpaaubesmebene 202 Search Settlement Instructions eesssossssescccsssseseecosss 96 Search Settlement Instructions fields COSD OIG STAU T eir 120 SD TOG Sta S aeS 119 CSD Validation Hold Status cccccssssssesecceeeeeseees 120 Customer Reference ccccccsssssseeeccceeeessseeccceseeaseees 108 Delivering CSD Part BIC ssssssesnnsssssesenssssseeesssssseeersssss 123 Delivering Depository BIC s ssnnsssseesenssssseseessssseeeesssss 123 Description ISIN J annccnaerxsdnesnnaeenioneaeonuweumedniweseevauzenvauies 113 Effective Settlement Date from cccccsssssseeeeeeeeees 111 OQ Entries S S Effective Settlement Date to eccccccccsesssseeeeeeneees 111 Externally Matched ssena sn 124 field next to Settlement Quantity ssseeennsssseeeenssssseee 114 ASEFUCTING Panty BIC seeen ANA 117 struction SEALUS 202 a NE 118 IMS EFUCTION Type oroia ONS 116 Intended Settlement Date from cccccsssssseeeeeeeeees 110 Intended Settlement Date to eeccccccsssssseeeeeeeeees 110 DSTI a n T dea A note yessacs 112 Mate SEOUUS ra aE econ vesseuanssoecaucenes 122 Matching Reference sccccccccceessseeccccseesseeeceeseees 109 IITA sees ete eon tem ae AE E eae A T ET EE A E ESEE
95. detailed field descriptions please refer to chapter Field Descriptions NOTE INFO Remember to verify all the fields automatically completed by the system to make sure all details have been entered correctly If you do not enter your own reference in the optional Customer Reference field the system will automatically generate a unique reference for identification of the instruction 39 OQ Settlement Instructions 3 Inthe field ISIN enter the desired financial instrument In the field Description the system automatically completes the details stored for the selected financial instrument and in the field Quantity Type the type of listing TIP There is an auto complete function available in the ISIN field You need only enter the country code the system will then suggest a list of available ISIN 4 Inthe field Settlement Quantity enter the desired quantity or nominal value greater than 0 INFO For the instruction types Free of Delivery PFD Debit PFD Credit the Settle ment Quantity field is automatically filled with the value 0 000 and disabled for input 5 In the field Settlement Amount enter the desired amount NOTE For the instruction types with Payment and versus Payment RWP DWP RVP DVP and for the instruction type PFD Payment Free of Delivery Debit and Credit the field Settlement Amount becomes a mandatory field INFO The default currency of the Settlement Amount is set to EUR Euro The fields
96. dit Detail View The settlement date on which the settlement of the intra position move ment was intended Create Detail View In case of settled intra position move ments the date of the day when the intra position movement was actually settled Create Selection between Normal or High Input request please select Intra position movements with priority High are settled before intra position movements with priority Normal Edit It is possible to select a different Priority when editing an instruction Detail View 7 Normal or High Length Decimal number DD MM YYYY DD MM YYYY Intra Position Movements Field Restr Type Balance From Mandatory field during Create Restr Type Balance From Restriction Reference CSD GmbH Content by system Entry by user Length Create Selection from the list Input request please select AWAS Deliverable Securities Position available securities position not yet included in an intra position movement BLOn Blocking blocked securities position labelled in an intra position movement as Restr Type Balance To BLO n 0 9 RESn Reserved reserved securities position labelled in an intra position movement as Restr Type Balance To RES n 0 9 EARn Earkarming earmarked secu rities position labelled in an intra position movement as Restr Type Balance To EAR n 0 9 NOTE There are re
97. e 33 Figure 34 Figure 35 Figure 36 Figure 37 Figure 38 Figure 39 Figure 40 6 search for ISIN Home search for ISIN Securities Details task box Authorization of Instructions According to the 4 Eyes Principle example instructions Processing of open tasks example intra position movements Current alerts to instructions in the search result list Instruction Alerts Search result list example Search Settlement Instructions Search result list extended search results 1 example Search Settlement Instructions Search result list extended search results 2 example Search Settlement Instructions Search result list extended search results 3 example Search Settlement Instructions Create Settlement Instruction Instruction Details Example DVP Delivery versus Payment Create Settlement Instruction Settlement Parties Example DVP Delivery versus Payment Create Settlement Instruction Additional Information Example DVP Delivery versus Payment Settlement Instruction Summary Example DVP with 4EP Authorisation Function link Use of Restrictions Create Settlement Instruction Additional Information Restrictions for an Instruction drop down screen section Function link Linkages Create Settlement Instruction Additional Information Linkage for an instruction drop down screen section Linkage for an instruction pop up dialog Search Settlement Instructions search Settlement Instructions OeKB CSD Sta
98. e Edit screen to make the desired changes You may change the entries in the following fields of the Edit screen Party Hold Status step Instruction Details Priority step Additional Information Partial Settlement Ind step Additional Information Linkages drop down screen section in step Additional Information NOTE Depending on the processing status and the instruction type some fields may be disabled TIP The detailed description of the fields in the Edit Settlement Instruction screen are available in the indi vidual Field Descriptions tables in chapter Create Settlement Instruction 75 Settlement Instructions pi nstructions 1 10 of 5210 Rows per page 10 25 50 100 1 2 23 4 5 7 _ 521 next 13 10 2014 72000 0 00 4D141009031c001 30 12 2014 1 000 IR 17 412 56 DWF AD141009031a001 30 12 2014 1 000 EUR 17 412 56 DVP AD141009031b001 30 12 2014 ATOOOO720008 1 000 EUR 17 412 56 GRA141015002p001 30 12 2014 ATOOOO720008 1 000 GRA141015002a001 30 12 2014 ATOOOO720008 1 000 Figure 35 Search Settlement Instructions search result list example edit Edit Settlement Instruction snes stn matin reset Instruction Details Instruction Type DVP Delivery versus Payment Transaction Type Customer Reference mim Matching Reference Instructing Party BIC Description Securities Account Description Cash Account ISIN ATOOOOAQU3T4 Description REP OEST 3 4 G
99. e securities for a specific purpose than currently available in the posi tion In this case the intra position movements are partially settled How to Reserve a Securities Position on a Securities Account Step by Step 1 Inthe menu bar select Settlement gt Create Intra Position Movement The Create Intra Position Movement screen appears The system automatically inserts the appropriate predefined values into the fields Instructing Party BIC inputting party incl Description Securities Account default securities account of the inputting party incl Description INFO The field Securities Account additionally displays the BIC of the securities ac count holder Settlement Quantity 0 000 Intended Settlement Date current date NOTE Remember to verify all the fields automatically completed by the system to make sure all details have been entered correctly INFO If you do not enter your own reference in the optional Customer Reference field the system will automatically generate a unique reference for identification of the intra position movement 2 Inthe field ISIN enter the desired financial instrument In the field Description the system automatically completes the details stored for the selected financial instrument and in the field Quantity Type the type of listing TIP There is an auto complete function available in the ISIN field You need only enter the country code the system will then suggest a list
100. eKB CSD Status Criteria 7 25 Status Criteria 7 Settlement Parties gt More Criteria Figure 29 Search Settlement Instructions You can use the following drop down screen sections to enter search criteria TIP 72 MIT to to Description to to Transaction Type Securities Account 1 In the menu bar select Settlement gt Search Settlement Instructions The Search Settlement Instructions screen appears DS Tao Sid search Search this section is displayed when the screen is opened for the first time fig 29 OeKB CSD Status Criteria fig 30 T2S Status Criteria fig 31 Settlement Parties fig 33 More Criteria fig 34 The system records the screen sections displayed and the search screen appears in the same way when you open it the next time Settlement Instructions CekB P CSD GmbH OeKB CSD Status Criteria Instruction status Task Type a F Figure 30 Search Settlement Instructions OeKB CSD Status Criteria 25 Status Criteria Party Hold status atid SS Stats atid csp Validation Hold a O soodsas oO Status Processing Status all 7 Pending Reason Codes all Match status Figure 31 Search Settlement Instructions T2S Status Criteria 73 Settlement Instructions OO O N Rt Pending Reason Codes Reason Codes Data W All Pending Reason Codes Select Reason Codes Select all BLOC Account Blocked BOTH Both Instructions on Hold
101. ection 47 Settlement Instructions The linkage details can be entered in a pop up dialog which opens as soon as you click on the add button Linkage Linkage Linkage Type please select Reference Type please select Reference ss Reference Owner BIC Ve 8 8 8 Description cancel nk Figure 28 Linkage for an instruction pop up dialog 4 1 5 1 Entering Linkages Between Two Instructions Position Linkage There are three ways to connect two instructions by means of a linkage Linkage Type After The newly created instruction will be settled after or at the same time as the linked to instruction Before The newly created instruction will be settled before or at the same time as the linked to instruction With The newly created instruction will be settled at the same time as the linked to instruction NOTE Instructions with linkages cannot be settled partially INFO As an additional option you can use the Linkage Type Information to connect two or more instructions This linkage type serves information purposes only Partial settlement is permitted for linkages of the type Information The system automatically generates linkages of the type Information for instructions related to auto collateralisation TIP With the corresponding linkage types assigned you can create sequences of instructions which will be settled one after the other depending on the order specified by the linkages How to Enter a Posi
102. ecurities Posting Items SCreeN ccssseeccceceeeeeeees 191 decimal places snerprennirn 15 Default Instr Format field Securities Account Details screen cccccccssesseeeeeees 32 Default Sec Account field Securities Account Details screen cccccceeseseeeeeeeees 31 delete Message Subscription Rule cccccccssssssseeeeeeeeees 209 delete DUON s caicasscscevasesscensnandasesnsncsscavexscomosaansasauanenseonsnens 17 Delivering CSD Part BIC Field Search Instruction screen ssssseesessssseeeessssseeeeesssssese 123 Delivering Depository BIC field Search Allegements screen cccccccsssssseeeccceeeeeseees 179 Search Instruction Screen sssssssessssssseersssssseeerssssseee 123 Delivering Party BIC field Search Allegements screen ccccccccsssssseeccceseeeseees 180 Delivery Free of Payment eeeeseecscsssssssssssceceececcsssssss 46 Delivery versus Payment sessessssseecccsssssesccossseseccossssee 47 Delivery with Payment sssseecessssseccccsssssececossseseecossssee 47 Description BIC Delivering Receiving Party Create Instruction screen sssssssssessesssssssrssssssssssses 81 Description BIC Depository of the Delivering Receiving Party field Create Instruction SCIEN ccccceesecccceesscccceeseceeeeeees 79 Description BIC Client of the Receiving Delivering Party Create Instruction screen ccccc
103. ecurities from a position already allocated to an intra position movement select the reference of the corresponding restriction position in the field Restriction Reference Restr Type Balance From There are options available in the field Restriction Rerefence only if intra position movements of the selected type have been previously entered 5 In the field Restr Type Balance To select the positions type of the position to which you want to allocate the securities 6 Inthe field Restriction Reference Rest Type Balance To select the reference of the intra position movement to which you want to allocate the position 7 Click save to save the intra position movement INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a releaser The intra position movement is saved and submitted to the system for processing or for 4EP authorisation The system displays the Intra Position Movement Summary where you can verify the data of the intra position movement you have entered 8 Click ok in the Intra Position Movement Summary to confirm your entries The entry page appears 108 Intra Position Movements CSD GmbH 5 2 4 Decreasing the Positions of an Intra Position Movement To decrease the positions of an intra position movement you need to create a new intra position movement How to Decrease the Positio
104. ed One of the tabs of the Create Settlement Instruction screen containing fields for inputting logically grouped instruction data Complete display of a newly created settlement instruction or settlement restriction including the Message History 173 OQ Glossary List of Terms Taskbox Tooltip 174 Explanation section of the Home screen listing instructions and intra position movements waiting for approval and open instructions and intra position movements as well as instruct tions and intra position movements with status Pending Pop up text providing helpful information or explaining a certain screen element A tooltip is displayed when you hover the mouse pointer over e g a button or any other screen element for about 2 seconds Entries B 15 Index S VINDO asiria 15 lt lt remove DUTTON sison aa ia A 18 4 4 eyes principle sssssssseccccsssssecccosssesececsssseseecossssee 37 226 A Pe NC OM gs sacs 505 cosecasscaccessidnnassthosscosabeasuvasheas T E 20 ADOLT DUTTON scctssticnsaadanancsosansecensguanicsensaanecavavencansansaanedyuenees 16 active TONG erise 15 AAG gt DUTLON saroe nnen EENE 16 Add Delivering Party field Create Instruction screen esssssesssssessssssssssessessessee 75 87 Add Receiving Party field Create Instruction screen sssssesssssssssssssessessessessee 76 86 add DULION saiewsseasaaxapssntenseisvannecssoasnensavannessvniisessaraniseasveisens 16
105. ed Settlement messages from collateral instructions credit provider will be received Settlement messages from corporate actions will be received settlement messages from securities issuances will be received Settlement messages from decreases of global certificates will be received Settlement messages from increases of global certificates will be received Settlement messages from standard settlement instructions will be received Status messages for automatically generated auto collateralisation settlement instructions will be received Message Subscription CSD GmbH Field An Active Ticked Check Box Means M Status Advices Transaction Status Advice TIP If you wish you can reduce the reasons codes for which you want to receive MT548 messages see Reason Codes sese 024 Accepted Messages for instructions with status Accepted will be received Pending Messages for instructions with status Pending will be received Rejected Messages for instructions with status Rejected will be received Cancelled Messages for instructions with status Cancelled will be received Matched Messages for instructions with status Matched will be received Cancellation Requested Reason Codes BLOC BOTH CANI CANS CASH CDLR CLAC CMON CSDH CTHP CVAL Messages for instructions with status Cancellation Requested will be received If the reason code in an instruction is Account Blocked the message will be received
106. edcenvensssesnswens 88 Pary HOld Stat S esnan 72 PON seeren E E E E E 88 Proprietary Identification cccccssssssecccccseessseeeceeseees 85 Proprietary ISSUEL cccccssssssseeecccsecssseecccsseesseseecesseees 85 Proprietary Scheme NamMe ccccssssssseccccecessseeeeceeseees 86 SVein a IV e A A E N E E E EN 68 Reference Owner BIC Linkages cccccccsssssseeeeeeeeees 95 Reference Type LINKAgeS cccccssssssescccceeesssseeeeeseees 94 Reference Linkages xavovsssasvennssasysacacnnvosencrayedensuniereasannene 95 Restriction References Use of Restrictions 008 92 Restriction Type Use of ReStrictions ceeeceeceeeeeeees 92 Securities ACCOUNT cesssecccccceessseeecccsceesseeeccceseeessess 64 Securities Account Client of the Receiving Delivering P e A T N A 84 Securities Account Receiving Delivering Party 81 Sequential Number LINKAGE S eeeecccccsesssseeeeeeeeeeeeeees 93 Setio AMIGUNA 70 S ttled QUALITY sewseisrtiroeeodrienu in 68 Settlement AMOUN cccccccccesssseeeccceeeesssesccceseeessees 68 Settlement AMOUNT Currency ccccccccccesseeeceeceeeeeeeees 69 Settlement Quantity vcscncssncantecnnasenadunevevesshenkenduvasehewennienens 67 Total Number Linkages scscevsinesusmcuvacnevetneverveansoeesunaertens 93 Iie e A E P eer E AN se E A E A E E eeare 70 Transat 00n TYDE yrrir an E al 62 Use of Restrictions c
107. eeeees 156 Effective Settlement Date to ececccccssssssseeeeeeeeees 156 field next to Settlement Quantity cc eeeeeeeeeeeeees 159 Instructing Party BIC oo ececcccccsssssseeceeeceeeeeeeceeeeeees 159 IS LAG HOM SEALUS erpressen ENEE NERE EEEN 163 Intended Settlement Date from cccssesseeeeeeeeeees 155 Intended Settlement Date to eecccccssssssseeeeeeeeees 155 OUD gs srcoeiecs guinaea E E 197 IVI a E E AE EE E E E E EE eesoetes 153 Processing Status saccsiucrires itirsin ensinante enie ee eins 164 Quantity Ty DC sacsascwnnisastnnsxianiwasebascunetavensiasaNencnnaardoeuenever 159 Restr Type Balance From cccccccsssseceeeeesseeeeaeeeeees 161 Restr Type Balance 1 Oc sivssescssvosctesevenededensserenenedeverenonnres 162 Restriction Reference sxicasedenevesesensensvodesseavaawsanerdenesenee 154 DECUMEES ACCOUN aceras ai i 160 Settlement Quantity from cccccccccessssseecccseeeeseees 158 Settlement Quantity tO seeeensesseeeensssseeeerssssseeeessssseee 158 SCLUSMONE SLALUS avinseacosendaresconsesvevervsemersesebandemennenvenees 164 PASI e E E an soroesdunetonsanneneas 163 Search Intra Position Movements menu item 143 Search Message Subscription cccccsssssssceeeceeeees 199 Search Message Subscription fields Open Message Types cccccssssssseecccseesssseeccceseeeseees 204 Search Message Subscription fields Destination BIO sasvossexareaseniacoucantec
108. eees 174 Search Instruction SCLEEN cccccessseccceesseccceeeseceeeees 114 Search Intra Position Movements screen ccc000 159 R Receive Free of PayMent cccccccsssssssssssssssssccscceessesees 46 Receive versus Payment ccssccccccrsssssscccccesessssceeeees 46 Receive with Payment ssssseecccsssseeccccssssecccossseeeceossssee 46 Receiving Depository BIC field Search Allegements screen cccccccsssssseeeccceeeeeseees 179 Search Instruction Screen cccccessseccceesseccceeeseceeeees 122 Receiving Party BIC field Search Allegements screen ccccccccssssssescceseeeeseees 179 Search Instruction Screen ccccceesseccceeeseccceeeseceeeees 123 Reference field Create Instruction screen Linkages nsssssseeenssssseee 95 Reference Owner BIC field Create Instruction screen LINKAGES cccceeseeeeeeeeees 95 Reference Type field Create Instruction screen LINKAGES ccceeesseeeeeeeees 94 refresh DUTON noioe enini 18 reject DUTTON suto o aeaa a a E eT 18 rejecte Getic annn teet ere eee 39 TOISAS Ecoren A A ER 38 releaser narin A S E secs 38 remove DUON sosser eose aaa Tanis NES 18 reset DUTTON is cacscvcsdesswsesssgasvicdeassvisadensinressvidevacossendeeassabede 18 Restr Type Balance From field Create Intra Position Movement screen ccce008 139 Search Intra Position Movements screen
109. eesecccceesseccceesecceceenees 83 Description Instructing Party BIC field Create Instruction screen ccccccceeseccceeesseceeeeeeeceeeenees 64 Create Intra Position Movement screen cce000 133 Description ISIN field 177 OQ Entries E F Create INSUFUCtION SELON rainen ranir 67 Create Intra Position Movement SCreen 00ecceeees 135 Search AllegeMents screen ssccccccccesssseeecceeeeessees 173 Search Instruction screen csecccsssscccceesecceeeeseeceeees 113 Search Intra Position Movements SCreen ccce008 157 Securities Positions screen ccccceesecccceesececeeeeeceeees 185 Securities Posting Items screen csesseesecceeeeeseees 189 Description Party BIC field Cash Pr Vew SCVCOM wiiessleciidewsdceisersdesidceuceiieas tdavelenvectece 195 Edit Message Subscription SCreeN cccssseeeeeeeeeeeeees 205 Message Subscription Rule SCreen ssseeeceeeeeeees 215 Securities Account Details SCreen ssssessseeessseeessseeeeess 28 Securities Positions screen cccccessecccceesecceeeeeeceeees 185 Securities Posting Items screen csessseeccceeeeeseees 190 Description Reference Owner BIC field Create Instruction screen LINKAGES eececccceceeeeeeees 96 Description Sec Acc Number field Four Eyes Principle screen ssssssecccccceessseeecceeeees 228 Description Securities A
110. eh Binet 55 UO CIN E A TA EEO RA 99 E e E AA N E EE EEEE EENET ET 38 releasen A A N R 38 TE EEE PEAT E A ANA O ENEE ATE 96 Settlement Instruction SUMMAaATY sseeesssssseeessssssseerssss 54 Instruction Aleris crniiin aaa 41 Instruction Details step Create InstruUctiOi ssnin arn a A 47 Create Instruction field descriptions ccceccceeceeeeeeees 61 Instruction Format field Edit Message Subscription SCreeN cccccsseeeeeeeeeeeeees 206 Instruction Status field Search AllegeMents screen csscccccccceessseececeseeeeeees 178 Search Instruction screen csccccesssecccceesecceceeseeceeees 118 Search Intra Position Movements SCreen cccee0 163 Instruction Type field Create Instruction Screen cssccccesseccceeseccceeeseceeeees 61 Search AllegeMents screen sccccccccessssseccceseeeeees 176 Search NSILUCTON SChECM icacsswscinedetathicadtciebeetdavacanyecnivs 116 INS CE UCTION EY DES caan A 46 Instruction Types field Message Subscription Rule SCreen sseeeeeceeeeees 217 Intended Settlement Date field Create Instruction Screen cscccccsesseccceeseccceeeseeceeees 7 1 Create Intra Position Movement SCreen sseccceees 137 Intended Settlement Date from field CISNE VEW Se reeeo a o A 197 184 Search Allegements screen cccccccssssssseeccceeeeeseees 171 Search Instruction SCEEN scccccc
111. eld Create Instruction SCIEGN cisscossnascsessscndossvadoowtsseasdadovsdvanes 67 Create Intra Position Movement screen 00eccceees 135 Settlement Quantity from field Search AllegeMents screen ssccccccccsessseeecceeeeeseees 173 Search Instruction screen cscccccessscccceesscceeeeseeceeees 113 Search Intra Position Movements SCreen ccccee0s 158 Settlement Quantity to field Search Allegements screen ssccccccccsesssseeccceeeeseees 173 Search Instruction screen sessessssseeesssseessseerssseeersseeees 113 Search Intra Position Movements SCreen sccccee0s 158 Settlement Status field Search Intra Position Movements SCreen ccc0008 164 Settlement menu item eeesssssssssssessscsssccssssssssssse 46 125 Short only field Securities Posting Items screen ssssssensssssseeerssssseeeess 192 show update DUTTON ssnsesecsssssscsscunsassssanssnseveensassssdnansasennens 18 SOFC OFGEN ICON crcr rrei Ennen aE 20 spreadsheet list ICOn eeesssesssesessssssscssssssssessesesese 21 25 CSD GmbH status task list approval rejectod cacacsaset cavensaresecesuedsevasdnanecenseanusonstonmcagaenes 39 TA a EAA E E EA EA EA 39 TEE VOC APEERE IE A A IE AE A E E T ET 39 step by step instructions description see 11 Subscription Rules list Edit Message Subscription SCreeN ccsseeeeeeeeeeeeees 207 Sum up field Se
112. eld during Create automatically completed by the system 52 Content by system Entry by user TRAD Trade Standard Settlement Instruction Edit Detail View CLAI Market Claim COLI Collateral credit provider COLO Collateral credit consumer CORP Corporate Action MKDW Decrease of Global Certificates MKUP Increase of Global Certificates TRAD Standard In struction Create Own reference If left empty by the user the system will generate a unique reference Edit Detail View The customer reference of the instruction Create Edit Detail View The unique Market Infrastructure Transaction Identifier automatically assigned as soon as the instruction has been accepted by the system Edit Detail View Reference assigned by T2S after matching BIC of the inputting party alphanum Settlement Instructions CSD GmbH Field Instruction Type Content by system Entry by user Length Instructing All The designation of the Party BIC instructing party Description Securities All Create Selection from the securities Account The securities account accounts available for the instructing Mandatory field defined as the default party during Create Cep INFO In addition to the secu rities account number this field shows the BIC of the securities account holder Edit Detail View The securities account selected during creation 53 Settlement Inst
113. ement oekb csd at Downloads Tis Settlement Client Benutzerhandbuch Ti Settlement Client User Manual Tasks Alerts H Tasks waiting for approval gt 6 Settlement Instruc tionis 3 Settlement Restric tionis D Tasks waiting to process gt 6 Settlement Instruc tionis 3 Settlement Restric tionis H instruction Alerts 3 51 Settlement Instruc tonis Figure 3 Entry page Home of the Settlement Client 20 The Settlement Client CekB P CSD GmbH 3 4 1 The Menu Bar ft Home v Settlement Holdings Administration Figure 4 Menu bar of the Settlement Client The menu bar shows all functions available to you when you are logged in as a user Depending on your user permissions some of the menu items shown below may be missing in your version of the client Settlement Client Menu Structure Settlement Create Settlement Instruction Create Intra Position Movement Create Physical Instruction Search Settlement Instructions Search Intra Position Movements Search Allegements Securities Positions Holdings Securities Posting Items Cash Preview Administration Message Subscription Four Eyes Principle Figure 5 Menu structure of the Settlement Client 21 The Settlement Client 3 4 2 Securities Accounts List The Securities Accounts list shows all available securities accounts and their securities account numbers and names A pop up menu lists all actions available for the securities ac
114. ended settlement date if the date range lies in the past it is the effect tive settlement date Incl Empty check box Activating the check box includes Unmatched unmatched securities posting items in the search result list TIP Activating this check box may be helpful if the end date of the search date range lies in the future Incl Empty check box Activating the check box includes Allegements allegements to the securities posting items in the search result list Short only Empty check box Activating the check box limits the posting items displayed in the search result list to bookings with insufficient coverage TIP Activating this check box may be helpful if the end date of the search date range lies in the future Sum up Empty check box Activating the check box shows the Summed up amounts per day in the search result list 136 Holdings 8 3 Search Cash Preview CekBP CSD GmbH The cash preview shows the cash movements related to securities settlement instructions over a period of time How to Open the Search Cash Preview Screen Step by Step 1 In the menu bar select Holdings gt Cash Preview The Search Cash Preview screen appears Search Cash Preview Search Party BIC Securities Account Currency OEROATWWAAK all all Intended Settlementdate 37 08 2015 Ea from Incl Unmatched Al Figure 64 Search Cash Preview S ae Date from incl unmatched Rows
115. ent Client Presentation of the Settle ment Client and of the user manual Structure of the Settlement Client user interface and overview of the user inter face s elements Users will learn how to get started with the Settlement Client and become familiar with the Settlement Client user manual Users will find support when learning how to use the Settlement Client and find out about the structure of the Settlement Client s user interface and all elements used on the interface Users working with the Settlement Client for the first time Users working with the Settlement Client for the first time Users looking for an overview of GUI elements and how to use them Settlement Settlement Instructions Intra Position Movements Physical Instructions This function will be finalised at a later date Allegements Create search modify and cancel settlement instruct tions Flag securities positions by using intra position move ments and search existing intra position movements Enter and modify physical deposits or withdrawals of securities Processing of allegement notifications for instructions Users will learn how to create new instructions search for instructions available in the system and edit existing instructions Users will learn how to block reserve or earmark positions on a securities account and how to search for intra position move ments already present in the system Us
116. ent Client where users may edit and modify data Whether a specific user may modify a specific record depends on the user s permissions and the processing status of the record Unit of the Settlement Client user interface which allows the entry or display of a spe cific information detail of a record Different types of fields in the Settlement Client Support the entry of different types of information such as textual information num bers and amounts date entries etc Two level verification method for entering modifying and deleting instructions and other records where the instructions entered in the Settlement Client must be ap proved by a person other than the one who has originally entered the data Only after approval by the second user the information will be released for further processing Link in screens and detail views which triggers a specific action similar to buttons See Message History Graphical display element without text of the Settlement Client user interface which functions as a link that triggers a certain action The Settlement Client supports the input of data in frequently used fields After the entry of one or several characters it displays a selection list of choices containing the characters entered User need only choose the required entry from the list of choices which completes the entry in the respective field See Screen Category of instructions of the same type e g DVP Deliver Vers
117. er Cash AO COUN aessisrsssrrrissvririvariraricrriesrerersrarssrrsrsrevris senet 33 Cash Account Type CST ACCOUN shesatiesecietcctcnecbestcscerssdesatiesscedoicetesaeoestene 33 Cash Settlement Cash ACCOUN seas swcdeterta scan E 35 GTC DOK ercsuiesunac outa enmeasemenusnsee wen ueaenaceceemnmedaesss 16 Closing Date Securities ACCOUNT Detallls ccccccsesseccceeesecccnenseccceees 30 Common Reference Create INSUIUCU ON ixissbictesiereiowissho tiroe E iNET E 89 CoSD Hold Status SOIC INSUUCUON ssiri krenent ane E rE A a 120 Create Erase Four Eyes Principle civinvoudsninsteniveunnsanswnsedienstnadboverteanes 228 CSD Hold Status Create INStrUCtiON cccccccsesseccccessecccsessececcensececsensecess 73 Search Instruction wx arezeuatavercuataboedsatancucvenecseeunsatotenstes 119 CSD Validation Hold Status Search Instruction siicetaiensotonincdantsiintockoeuecsavodieuceiocivaens 120 Cum Ex Indicator Create INStrUCtION sssrriivsrsrisissisisarissiririveisrriiiaiiriniririeiai 88 Currency CAET CC OUI e 34 CSD GmbH Cash Preview seeeoesseseesseenesseeresseeresseerssseeresseerssseers 196 Securities Posting ILCITS cccesssccccccccensssecccccsecasseees 190 Customer Reference Search Allegements cccccccssnssssecccccccsssescccsseeesseess 169 Search ISICON veces snotisnd vasasaes scented eoossorwecwnbarantects 108 Search Intra Position MOVEMENLES cccccseseceeeseeeeeees 153 Customer Reference Credle METUO HON o
118. ers learn how to create and update instructions for the physical withdrawal or deposit of securities Users can search for allege ments sent by counter parties and create their corresponding own instruct tions Users whose task it is to work with instructions create new instructions or handle existing instruc tions Users whose task it is to block reserve or earmark specific positions on a securities account or who need to search for intra position movements to be used in instructions Users whose task it is to create or modify physical withdrawals or deposits in the Settlement Client Users whose task it is to search for allegements or to create instructions for received allegements About the Manual Holdings Administration Reporting Glossary 2 2 Chapter Securities Positions Securities Posting ltems Cash Preview Message Subscription Four Eyes Principle Billing This function will be finalised at a later date Reporting This function will be finalised at a later date Glossary Content Overview of securities posi tions on a securities account or in a specific ISIN Overview of individual securi ties bookings Overview of the balances per cash account over a selected period Definition of rules for receiv ing messages Specification of actions re quiring a dual control authori sation according to the four eyes principle Description of the billing m
119. es available after a securities account has been selected in the Securities Account field Currency all Selection from CHF EUR GBP USD Selection The system displays the RUB cash balance for all curren cles Purpose all Selection from Settlement Clearing Selection The system searches for or Corporate Action cash movements with any By selecting Settlement it is possible purpose e g to search exclusively for cash movements associated with settlement transactions By selecting Clearing it is possible e g to search exclusively for cash move ments associated with clearing trans actions By selecting Corporate Action it is possible e g to search exclusively for cash movements associated with corporate actions Intended Date from one month Date range within which the intended Calendar icon DD MM Settlement before the current date settlement date for the cash preview of YYYY the selected securities account shall lie Date from to Date to one month after the current date If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Incl Empty check box Activating the check box includes Unmatched unmatched securities posting items in the search result list TIP Activating this check box may be helpful if the end date of the search date range lies in the future 139 Holding
120. escccsseeees 178 Auto Receive Securities Account Details cccccccesscccceeeseccceenseccceees 32 Auto Collateralisation CSN CO Gobir crete ee EE E A 35 BIC Client of the Receiving Delivering Party Create HIS UCU OM wiscteteete state diecnctetsausasdveisaneloncuaneedexnate 83 BIC Delivering Party Greate INSUUCUON ssamscce is ctuceunnaccceanuseeceaspascceasuoncennae 80 BIC Depository of the Delivering Party Create INSUUCU ON fesssoecdosssvecerissbesDeasstoeeissbentediateiveusabes 78 BIC Depository of the Receiving Party Greate TSEC ON bz haasiiovesciiiieshassionavansincssanisosandiiaasens IT BIC Receiving Party Create INS TUCTION sececsicondsoiccsusnein tance uhesdementondboiesseaeies 80 Blocking Date from Securities Account Detallls ccccccccssssecccesesecceeeeseceeeees 30 Blocking Date to Securities ACCOUNT Detallls ccccccccessecccnseseccccenseccenees 31 Blocking Reason Securities Account Detallls cccccccsessecccceeseccceensecceeees 31 Branch Edit Message SUDSCLIDUION cccccccsssesseececeenaeeeeeees 206 Cancellation Requested Create INSUUCU ON sxxssvisvcusswesvarsreesvausades venience vonsatesoansades 74 Cancellation Status Advice Message Subscription Rules ccccccssesssceccccseesseess 221 Cash Account Cash PIOVICW vessisseseseticondboisseneieienaedveidnaedseniaondborstenenes 196 Create INS UCTION sexs aiteaadeshccsecteeitaasseboesenaunitaddesbiesestenis 65 Cash Account Numb
121. esseccceesseccceesecceeees 110 Search Intra Position Movements screen ccc0008 155 Intended Settlement Date to field Cash Preview sereen sonnii Ei 197 Search Allegements screen cccccccsssssseeeecceeeeeseees 171 Search Instruction Screen essssessseeessseeessseerssseerssseeeess 110 Search Intra Position Movements screen cc00008 155 Intra Position Movement Confirmation field Message Subscription Rule SCree n cseeeeeeeeeeeeees 223 Intra Position Movement Status Advice field Message Subscription Rule screen sssssseesssssseeesssss 223 Intra Position Movement field Four Eyes Principle SCreen sssssceccccccessseeeeeeeseees 228 Intra Position Movement Details Create Intra Position Movement c sseecceeeeeeeeeeees 125 Intra Position Movements SO AM EPRORE O A AE AE E vetoes O T EE 143 IEE OGUCTION saa N NAA 9 ISIN field Create Instruction Screen eccriene 66 Create Intra Position Movement screen 00cceee0s 134 Search Allegements screen cccccccssssssseecccseeeeeeees 172 Search INStructiOn SCLEEN cccccessseccceeeseccceeeseceeeees 112 Search Intra Position Movements screen ccc000 157 Securities POSITIONS SCFEEN ccccssseccceesseccceeeseceeeees 184 Securities Posting Items SCrEEN ccseeeeeeceeeeeeeeeeees 189 ISIN fiel renonse sna OO aoc 15 REMS apesse an niai a ea 187 L
122. font Grey background Red background 134 Explanation Settled securities posting item Not yet settled securities posting item Securities posting item with expected coverage Securities posting item with expected insufficient coverage Holdings 8 2 3 ISIN Description Party BIC Party BIC Description Securities Account Currency Purpose Content by system Auto Complete After input of the country code the system suggests a list of ISIN The designation of the financial instrument BIC of the enquiring party or BIC of the securities account holder Auto Complete After input of the first or two consecutive characters of the BIC the system sug gests a list of BICs The complete list of all parties available in the system is displayed after putting the cursor into the field and hitting the arrow down key on the keyboard The designation of the securities account holder The system searches for securities posting items on all securities accounts of the securities account holder all The system searches for securities bookings with any currency The system searches for securities bookings with any purpose Field Descriptions Securities Posting ltems Entry by user Country code then selection from the suggested list Selection from all authorised parties Input of the first or two consecutive characters of the BIC then selection from the suggested list INFO If
123. for 4EP authorisation The system displays the Intra Position Movement Summary where you can verify the data of the intra position movement you have entered 7 Click ok in the Intra Position Movement Summary to confirm your entries The entry page appears 5 2 2 Modifying Linkages for an Intra Position Movement The concept and modification of linkages for intra position movements is identical to entering linkages for instructions See Entering Linkages for an Instruction 106 Intra Position Movements CSD GmbH 5 2 3 Increasing the Positions of an Intra Position Movement To increase the positions of an intra position movement you need to create a new intra position movement How to Increase the Positions of an Intra Position Movement Step by Step 1 In the menu bar select Settlement gt Create Intra Position Movement The Create Intra Position Movement screen appears The system automatically inserts the appropriate predefined values into the fields Instructing Party BIC inputting party incl Description Securities Account default securities account of the inputting party incl Description INFO The field Securities Account additionally displays the BIC of the securities ac count holder Settlement Quantity 0 000 Intended Settlement Date current date NOTE Remember to verify all the fields automatically completed by the system to make sure all details have been entered correctly INFO If y
124. fy data The Edit Message Subscription screen appears 5 In the row of the record you want to change in the Subscription Rules list click on the Edit icon to open the Message Subscription Rule screen 6 Activate or deactivate the check boxes to modify the settings as required for details on the parameters please see the Field Descriptions TIP For the transaction status advices Accepted Pending Rejected and Cancel led in subscription rules of the type Settlement Instruction you may specify on a reason code level whether to receive or not to receive message 7 Click ok to confirm your changes The Edit Message Subscription screen appears again 8 Click save to save your changes At the top of the screen the system displays a confirmation as soon as your modifications have been saved 9 2 2 Deleting a Message Subscription Rule If you want to delete a message subscription rule you need to start in the Edit Message Subscription screen Figure 72 Subscription Rules List example delete 148 Message Subscription CSD GmbH Delete Confirmation Confirmation Details Rule Name All Messages Rule Default Are you sure you want to delete this rule no Figure 73 Confirm deletion Message Subscription Rule How to Delete a Message Subscription Rule Step by Step 1 In the menu bar select Administration gt Message Subscriptions The Search Message Subscription screen appears 2 Enter the desired search
125. g parties Edit Detail View 65 Settlement Instructions Field Instruction Type Content by system Entry by user Length Add Delivering RFP Receive BIC Depository of the Create Party Free of Pay Delivering Party de Additional Delivering Party as re ment pository of the inputting quired Clicking on the link opens RVP Receive participant 2 the following eee sections in BIC Securities consecutive order versus Cay Account Delivering ment Delivering Party 3 Party BIC and secu RWP Receive _ rities account of the Delivering Party 4 with Payment inputting participant Delivering Party 5 PFD Payment Free of Delivery Debit A maximum of 5 participants can be entered NOTE Enter the delivering party in the section Delivering Party first before you enter additional delivering parties Edit Detail View 66 Settlement Instructions CSD GmbH 4 1 6 3 Additional Information Step 3 Field Instruction Type Content by system Entry by user Length Priority All Create Selection between Normal or High Mandatory field Normal Instructions with priority High are during Create settled before instructions with automatically priority Normal completed by Ba the system Edit It is possible to select a different Priority when editing an instruction Detail View Normal or High Partial All Create Selection between Partial not Settlement As specified in the secu allowed or Parti
126. g Items ISIN Search Search for ISIN task box Tasks waiting for approval Tasks waiting to process Instruction Alerts 164 User Roles and User Permissions Main Menu Home Screen Settlement Holdings Administration Menu Item Create Settlement Instruction Create Intra Position Movement Search Settlement Instructions Search Intra Position Movements Search Allegements Securities Positions Securities Posting ltems Message Subscription Four Eyes Principle CSD GmbH Permissions Creating free of payment instructions Receive Free of Payment RFP Delivery Free of Payment DFP Creating restrictions for settlement instructions searching free of payment instructions and instructions versus payment Receive Free of Payment RFP Receive versus Payment RVP Receive with Payment RWP Payment Free of Delivery Debit Credit PFD Delivery Free of Payment DFP Delivery versus Payment DVP Delivery with Payment DWP Physical Modifying and cancelling free of payment instructions Receive Free of Payment RFP Delivery Free of Payment DFP Searching modifying and cancelling restrictions for settlement instructions Searching free of payment allegement and allegements versus payment and creating free of payment counter instructions Receive Free of Payment RFP Delivery Free of Payment DFP Searching and viewing securities positions Searchin
127. g and viewing securities bookings Searching and viewing message subscription settings Searching and viewing the settings for authorisation according to the four eyes principle 165 O User Roles and User Permissions 13 2 Settlement Client FOP Releaser NOTE The role Settlement Client FOP Releaser can be assigned as an add on role to a regular user role to allow the user the additional permissions to authorise instructions according to the four eyes principle Main Menu Menu Item Home Screen Home Screen task box Settlement Search Settlement Instructions Search Intra Position Movements Permissions Tasks waiting for approval Approving or rejecting free of payment instructions Receive Free of Payment RFP Delivery Free of Payment DFP Approving or rejecting restrictions for settlement instructions 13 3 Settlement Client VP User Main Menu Menu Item Home Screen Home Screen Securities Accounts Overview ISIN Search task box Settlement Create Settlement Instruction 166 Permissions Link to Create Settlement Instruction Link to Create Intra Position Movement Link to Search Settlement Instruction Link to Search Intra Position Movement Link to Search Allegement Link to Display Securities Account Details Link to Display Securities Positions Link to Display Securities Posting Items Search for ISIN Tasks waiting for approval Tasks waiting to process I
128. h an intra position movement by means of a linkage Linkage Type After The newly created instruction will be settled after or at the same time as the linked to intra position move ment Before The newly created instruction will be settled before or at the same time as the linked to intra position movement With The newly created instruction will be settled at the same time as the linked to intra position movement NOTE Instructions with linkages cannot be settled partially How to Enter a Position Linkage Between an Instruction and an Intra Position Movement Step by Step 1 In step 3 Additional Information of the Create Settlement Instruction screen open the drop down screen section Linkages To do so click on the Linkages function link see fig 26 The drop down screen section Linkages appears see fig 27 2 Click on the add button The pop up dialog Linkage appears see fig 28 3 In the field Linkage Type select the type of linkage After Before or With 4 Inthe field Reference Type select the type of reference Sub Balance Reference 5 In the field Reference enter the restriction reference of the intra position movement with which you want to connect the newly created instruction 6 Click ok in the Linkage pop up dialog to return to the Create Settlement Instruction screen 7 Continue entering the Settlement Instruction 4 1 6 Field Descriptions Create Settlement Instruction The description of the fie
129. h result list 3 5 Search Functionality and Search Result Lists To start searching data use the search button in the search screens see Fields Buttons and Icons button search The system then displays all available data below the search screen in the form of a search result list The search result list offers the following functions Number of search results currently displayed and total number of search results x x of xxx Number of search results displayed per page choice between 10 25 50 and 100 INFO The options available to select the number of search results displayed per page depend on the total number of search results Number of pages containing search results considering the option selected for search results per page Extended list view extended search results with additional columns containing more details of the record 33 OQ The Settlement Client a ig a n d l2 3 4 5 6 7 564 art Rows per page 10 25 50 100 1 2 3 4 5 6 7 564 next Figure 16 Search result list example Search Settlement Instructions KBO CSD GmbH Testsystem Settlement Services Close extended search results X Settlement Instructions Extended Search Results Instructions 1 10 of 5633 Rows per page 10 25 50 100 1 2 3 4 5 7 m 564 next gt BAWAATWWXXX BAWAATWWXXX 0CSD222200 BKAUATWWXXX OCSD222100 09 10 2014 13 10 2014 RVP BAWAATWWXXX BAWAATWWXX
130. have the following options a1 Inthe row of the record you want to enquire click on the amount displayed in the columns Earmarked Blocked or Reserved to follow the integrated link to the subbalances The pop up dialog appears a2 Click on the button close to return to the Securities Positions screen b Click on the download as Excel button to save the data in a Microsoft Excel file c Click on the download as PDF button to save the data in a PDF file 130 Holdings CSD GmbH 8 1 2 Displaying Securities Positions by Securities Account With the securities position enquiry by securities account you can enter a securities account to find out which secu rities positions are held on this securities account where OeKB CSD is holding the securities for you and whether these positions are available earmarked blocked or reserved How to Display the Securities Positions of a Financial Instrument on a Securities Account Step by Step 1 In the menu bar select Holdings gt Securities Positions The Securities Positions screen appears The system automatically inserts the appropriate predefined values into the fields Party BIC enquiring party incl Description Securities Account all 2 In the field Securities Account select the securities account from the securities accounts available for the instructing party 3 Click on the search button The search result list containing all instructions matching your search criteria a
131. ield Search Allegements screen sccccccccsssssseeecceeeeeseees 172 Trade Date to field Search Allegements screen ccccccccsssssseeccceeeeeeeees 172 Search Instruction SCrEEN ssscccccccsssssssecccceseeeseees 112 Transaction Confirmation field Message Subscription Rule screen ssssseeesssssseeesssss 222 Transaction Status Advice field Message Subscription Rule screen ssssseeenssssseeessss 219 Transaction Type field Create Instruction screen esssssseseessssseeeessssseeeeessssseee 62 Search Allegements screen ccccccccsssssseeccceseeeseees 177 Search Instruction screen ssssseesessssseeeeesssseeeeessssseee 117 Transaction Types field Message Subscription Rule SCree n cseeeeeeceeeeeees 217 O Entries U Y IWO TICKS icsi a E typographic conventions eesssssssseecccssssseccccssseececossseee U Use of Restrictions screen section Create Instruction sereen ccccscecesceccscecescecscscescecs V Valid from field Cash Account pop up dialog nsssseeennssssseeerssssseeersssss Valid to field Cash Account pop up dialog nsesseeennsssseeeenssssseeerssss visual Cue S aee asea ea a aea aa a aeaa t eE N 190 W White DUISEy E orirriarii irn EAE NEREA 19 X FNC OM auna a 20 KE coe ni S E S 88 Y yellow bUlSEeyEessesssicisisrsssssrersssscrossrssssoosisocrsesessirsssisskessnis 19 VOS
132. iew versus Pay The nominal value ment quantity selected during RWP Receive Creation with Payment DFP Delivery Free of Pay ment DVP Delivery versus Pay ment DWP Delivery with Payment 0 000 PFD Payment Free of Delivery Debit INFO For the instruction types Free of Delivery PFD Debit PFD Credit this field is automatically filled with the value 0 000 and disabled for input PFD Payment Free of Delivery Credit Quantity Type A After ISIN input or E selection FAMT for financial instruments with a price as percentage of par face amount UNIT for financial instruments with a price per unit Settled All Quantity Create 55 Settlement Instructions Field Instruction Type Content by system Entry by user Length Edit Detail View 0 000 or in case of set tled instructions the set tled quantity or the set tled nominal value of the financial instruments Settlement RVP Receive Create Cash value of the transaction Decimal Amount versus Pay 0 00 Mandatory field ment during Create A value greater than zero number Edit Detail View g u RWP Receive The cash value of the with Payment transaction selected PFD Payment uring creation Free of Delivery Debit DVP Delivery versus Pay ment DWP Delivery with Payment PFD Payment Free of Delivery Credit REP Receive This field is not displayed for the two instruc
133. ii ai 67 Create Intra POsition MOVEMENL ccccccseesecceneesees 135 Search Allegements cvs sincavacssinnrweevapnaliooaaneadesnaseraenaghs 173 Search INSUUCTION vs ccsvaseasisvesencavdanedsasvaseanazeavsduaweasenedt 113 Search Intra Position MOVEMENES cccccsesecceeseeeeeees 157 Securities POSITIONS cccccseseeccccenseccccensecccceseeccesessecees 185 Securities Posting ITCIMS cccccssssesccccccceetsseecceeceaaeeeees 189 Description Party BIC Cash PrEVIOW sasariocactucteeoncutivedesscuesdecantesantenmsssecarivsncs 195 Message Subscription Rules cccccccsssescccceccennesseeceeees 215 Search Message Subscription ccccccsssssseecceeseaneeeeees 205 Securities Account Details ccccccseseccccsessccccsensecceeees 28 Securities POSIVIONS siiisiiririsrisrisiresiririresaririsssirisiniievis 185 Securities Posting ILCITIS cccseesscecccccsnsssecccccsenaseees 190 O Entries F F Description Reference Owner BIC Linkages 96 Description Sec Acc Number FOUR EVES PHNCIDIC sentene eteri A 228 Description Securities Account Create Intra POSsition MOVEMENE ccccccesssseeeeeceeees 134 Description Securities Account Greate Ineu CUO cse ener ees 65 Securities Account DOTGIS cicica cakes icisacts ucransvarirsecvacas ences 29 Description Securities Account Receiving Delivering Party Create INSTRUCTION assein i T R visser seek 82 Destination BIC Edit Message SUDSCLIDUION
134. in the system is displayed after putting the cursor into the field and hitting the arrow down key on the with Payment PFD Payment Free of Delivery ee keyboard Edit Detail View The BIC selected during creation RFP Receive Free of Pay ment RVP Receive versus Pay ment RWP Receive with Payment PFD Payment Free of Delivery Debit The designation of the selected counterparty Entry by user Length BIC of the receiving party BIC 11 Input of the first or two consecutive characters of the BIC then selection from the suggested list BIC of the delivering party Input of the first or two consecutive characters of the BIC then selection from the suggested list Edit Detail View Settlement Instructions CSD GmbH Field Instruction Type Content by system Entry by user Length Securities All Create Create Account The securities account Selection from the securities defined as default for the accounts available for the counterparty counterparty NOTE This field becomes a mandatory field if the depository selected in the section Depository of the Receiving Delivering Party is ECSD Edit Detail View The securities account selected during creation Securities All The designation of the Account selected securities Description account Client of the Receiving Delivering Party BIC All Create BIC of the client BIC 11 If a BIC is entered the fields for the Propriet
135. ions Securities Posting ltems Message Subscription Permissions Link to Create Physical Link to Search Physical Link to Display Securities Account Details Link to Display Securities Positions Link to Display Securities Posting Items Search for ISIN Tasks waiting for approval Tasks waiting to process Instruction Alerts Creating instructions for the physical withdrawal and deposit of securities searching modifying and cancelling instructions for the physical withdrawal and deposit of securities searching and viewing securities positions Searching and viewing securities bookings Searching and viewing message subscription settings User Roles and User Permissions CSD GmbH Main Menu Menu Item Permissions Home Screen Four Eyes Principle Searching and viewing the settings for authorisation according to the four eyes principle 13 6 Settlement Client Physical Releaser NOTE The role Settlement Client Physical Releaser can be assigned as an add on role to a regular user role to allow the user the additional permissions to authorise instructions according to the four eyes principle Main Menu Menu Item Permissions Home Screen Home Screen task box Tasks waiting for approval Settlement search Physical Approving or rejecting instructions for the physical withdrawal and Instructions deposit of securities 13 7 Settlement Client Read only Main Menu Menu Item Permissions Home Screen Ho
136. is Quantity Instructed is Lower than the Eligible Amount the message will be received If the reason code in an instruction is Insufficient Money in Account the message will be received If the reason code in an instruction is Quantity Instructed is not an Eligible Multiple the message will be received If the reason code in an instruction is Disagreement Settlement Amount Currency the message will be received If the reason code in an instruction is No Specified Reason the message will be received Message Subscription Field OTHR PART PRCY PREA PRSY REFE SAFE SBLO SETR VALR Cancellation Status Advice MT548 sese 027 Modification Status Advice MT548 sese 03 1 Confirmations Transaction Confirmation MT544 MT545 MT546 MT547 sese 025 CSD GmbH An Active Ticked Check Box Means M If the reason code in an instruction is Other the message will be received If the reason code in an instruction is Trade Settles in Partials the message will be received If the reason code in an instruction is Counterparty Instruction On Hold the message will be received If the reason code in an instruction is Your Instruction is On Hold the mes sage will be received If the reason code in an instruction is On Hold By System the message will be received If the reason code in an instruction is Duplicate Instruction the message will be received If the reason code in an instruction is
137. is field shows the BIC of the secu INFO rities account holder Input Assist Length positive decimal number Selection list BIC 11 after input of the first or of two consecutive character s Selection 35 max alphanum Intra Position Movements Content by system Restr Type all Balance From The system searches for intra position movements with any original restriction type Entry by user Selection from the list CSD GmbH Input Assist Length Selection AWAS Deliverable Securities Position freely available to search only for intra position movements of the original restric tion type AWAS position not yet allocated to an intra position movement COSP Conditional Settlement Delivery reserved for instruct tions settled externally to search only for intra position movements of the original restriction type COSP position labelled as reserved for instructions settled externally in an intra position movement BLOn Blocking blocked to search only for intra position movements of the original restric tion type O n 0 9 position labelled as blocked in an intra position movement RESn Reserved reserved to search only for intra position movements of the original restric tion type RES n 0 9 position labelled as reserved in an intra position movement EARn Earmarking earmarked to search only for intra position movements of the Origin
138. is ticked the cash account is used as the default cash account As soon as e g an instruction is created the system automatically displays this cash account number in the Cash Account field of the screen if the corresponding securities account has been seleted If the check box is ticked the corresponding T2S account will be used for auto collateralisation If the check box is ticked this cash account will be used for payments cash settlement The Settlement Client CSD GmbH 3 4 3 Search for ISIN On the top right of the entry page Home a quick ISIN search is available The result of this search is a display of the securities data stored in the system for the corresponding ISIN and of any restrictions currently active You will also see details about the minimum denomination and the minimum multiple quantity of the financial instrument c3 www oekb at 20a Logged in CekB e CSD GmbH Testsystem Settlement Services fat Home v Settlement v Holdings v Administration ty Welcome to the Settlement Client of OeKB CSD gt Home Search for ISIN Securities Accounts ATOOOO0AMAG3 OEKOATWWXXX OCSD1111111 a OEKOATWWXXX OCSD1111117 o Gntestenggennennene B 43 1 53127 4020 settlement oekb at Nowninads Figure 10 Search for ISIN Home Security Details ISIN ATOOOQ0AMAG3 CFI ESVUFE Name AMAG AUSTRIA METALL AGAKTIEN OHNE NENNWERT FISH AMAG SHS Country AT Settlement Type UNIT Minimum Denomi
139. ists where the corresponding search criteria have been automatically applied Tasks waiting for approval search criterion Task Type User Approval Task Tasks waiting to process search criterion Task Type User Processing Task Instruction Alerts Pending Reason Codes CLAC CMON LACK MONY TIP If necessary add more search criteria in the search screen above the search result list to limit the number of the results displayed in the task list For more information about the search functionality and the search result lists please refer to chapter Search Functionality and Search Result Lists 3 4 4 2 Authorisation of Tasks According to the 4 Eyes Principle Tasks waiting for approval You can use the task box links below Tasks waiting for approval to open the corresponding search result list where you can approve or reject tasks if you have the user permission to authorise instructions or intra position movements 28 The Settlement Client CSD GmbH INFO In the Tasks waiting for approval section the task box shows the number of previously entered records which require approval according to the 4 eyes principle i e records with status awaiting approval TIP The functionality to authorise tasks is only available for tasks you have neither entered nor edited Instructing Party r all gt OeKB CSD Status Criteria Instruction Status all 7 25 Status Criteria 7 Settlement Parties gt More Criteria Instructio
140. lds in the Create Settlement Instruction screen is sectioned in three parts i e the three steps Instruction Details Settlement Parties and Additional Information INFO The Create Settlement Instruction screen is used as Edit and Review Settlement Instruction screen when modifying or releasing an instruction respectively and as Settlement Instruction Detail screen when displaying an instruction with exactly the same appearance Field values or entries which differ between these variants of the screen are listed with the descriptions of the respective fields below 50 Settlement Instructions CSD GmbH 4 1 6 1 Instruction Details Step 1 Field Instruction Type Content by system Entry by user Length Instruction Create Selection from the list Type Input request please RFP Receive Free of Payment Mandatory field select during Create RVP Receive versus Payment RWP Receive with Payment PFD Payment Free of Delivery Debit DFP Delivery Free of Payment DVP Delivery versus Payment DWP Delivery with Payment PFD Payment Free of Delivery Credit Edit Detail View The instruction type selected during creation 51 Settlement Instructions Field Instruction Type Transaction All Type Mandatory field during Create automatically completed by the system Customer All Reference MITI All Matching All Reference Instructing All Party BIC Mandatory fi
141. legement notifications will be received The settlement messages sent to remove allegements after the processing of counter instructions to these allegements has been completed will be received Cancellations of allegement messages automatically generated by the system after cancellation of the associated settlement message will be received Four Eyes Principle CSD GmbH 10 Four Eyes Principle The Four Eyes Principle settings for authorisation by a second person are defined for the securities accounts created for a party How to Open the Four Eyes Principle Screen Step by Step 1 In the menu bar select Administration gt Four Eyes Principle The Four Eyes Principle screen appears Four Eyes Principle Four Eyes Principle Settings Party BIC Securities Account Description OEKOATWWXXX ocsD1111111 ee OEKOATWWXXX OCSD1111112 jon OEKOATWWXXX OcsD1111117 E OEKOATWWXXX OCSD1111177 ee OEKOATWWXXX OcsD1111172 ee OEKOATWWXXX ocsp1111171 Pe OEKOATWWXXX ocsp1111271 ion OEKOATWWXXX OcSD1111272 OEKOATWWXXX OCSD1111277 P OEKOATWWXXX OCSD1117277 i p Figure 78 Four Eyes Principle INFO A list entry is added automatically for each securities account created for a party 10 1 Edit Four Eyes Principle For each securities account you can specify the following settings for the authorisation according to the 4 eyes principle Intra Position Movement Physical Create Erase Separately for each instructi
142. lement The Settlement Client Field Partial Settlement Default Auto Receive Default Instr Format Cash Accounts Content by system If the check box is ticked partial settlement is allowed for all instructions on this securities account The Partial Settlement Ind field will automatically display the option Partial allowed if an instruction is created for this securities account If the check box is ticket a receive instruction will be automatically generated for received DPF allegements unless the instruction involves an external depository Possible formats ISO 15022 MT ISO 20022 MX see Field Descriptions Cash Accounts Authorised Parties These fields are only displayed if other parties have been granted access to the selected securities account 3 4 2 5 Field Cash Account Type Cash Account Number Currency Valid from Valid to Settlement Default Auto Collateralisation Cash Settlement 26 Field Descriptions Cash Accounts Securities Account Details Content by system Possible cash account types SAP for multicurrency settlement T2S for Euro settlement Number of the cash account IBAN for SAP accounts DCA account number for T2S accounts Possible entries CHF EUR GBP USD RUB The day starting at which the cash account will be has become active The day starting at which the cash account will be has become inactive If the check box
143. lement Default Securities ACCOUNT Detalls ccccccseesecccceessececeessecens Partial Settlement Ind Greate TSI OM arerin rara uiine a REEERE Search INSUUCUOT Satcasiaeseanuctlesehansitstancevaieeianetebansedestics Party BIC Edit Message SUDSCLIDUION ccccccccssseseecceecnaneeeeees Search Message SUDSCHIPtion ccccccccsssseseececeeeaeees Party BIC CS FOV CW seta tercecsccceedetadatcusietscusdeccedesactccarenacescetens Securities Account Detalls ccccccceessecccsessececeensecens Securities POSITIONS ccccccsesccccssesscccccesseccccessecessesecens Securities POSTING ITCINS 00 ccccccsssessseeccccccensssesccceseeees Party BIC Message Subscription Rules cccccccsesssceccccsensseees Party Hold Status CSD GmbH Create Instruction siciacoceicarensasenntonses tenia teri anediabenveionis FZ Dea CSIC HON ot etecausocctinctetcctasdacaelnsactentuasccarivetace 119 Pending Reason Codes search HSU UCTION sixccsiactnedtisetatcesececutniavaiacnsnctnedteapior 121 PFD Credit FOUT EVES FINCI O reran E E EE 229 PFD Debit Four EVES INCI Cras daw ee nA N 229 Physicals Four EVES PHACIDIC aers ree E EEEE TER 228 Priority Groate INS UUCUON osssare n a 88 Create Intra Position MOVEMENL sccccccseeseceeeneeees 138 Search INSUUCTION sco seserccsvesencxssesedsesvaseasaecaseduaveasendes 124 Processing Status Search IISIMUICUON vi conesnctcitersabsncesnetsaadoaskdieniwecsiGenteeent 121 Search Intra
144. lerts 3 5 Search Functionality and Search Result Lists 4 Settlement Instructions 4 1 Create Settlement Instruction 4 1 1 4 1 2 4 1 3 4 1 4 4 1 5 Entering Instruction Details Example DVP Entering Settlement Parties Example DVP Entering Additional Information Example DVP Entering Restrictions for an Instruction Example DVP 4 1 4 1 Assigning Restrictions blocked or reserved positions to an Instruction Entering Linkages for an Instruction Example DVP 4 1 5 1 Entering Linkages Between Two Instructions Position Linkage 4 1 5 2 Entering Linkages Between Several Instructions Pool Linkage 4 1 5 3 Entering a Linkage Between an Instruction and an Intra Position Movement Position Linkage CSD GmbH O so Oo 11 11 11 12 12 13 14 20 21 22 22 23 23 25 26 27 28 28 28 30 32 33 37 37 38 41 43 45 46 47 48 49 50 O Content 5 4 1 6 Field Descriptions Create Settlement Instruction 4 1 6 1 Instruction Details Step 1 4 1 6 2 Settlement Parties Step 2 4 1 6 3 Additional Information Step 3 4 1 6 4 Use of Restrictions Screen Section Step 3 4 1 6 5 Linkages Screen Section Step 3 4 2 Search Settlement Instructions 4 2 1 Modifying Settlement Instructions 4 2 2 Modifying a Linkage for an Instruction 4 2 3 Cancelling Settlement Instructions 4 2 4 Instruction History Settlement Instruction 4 2 5 Status History Settlement Instruction
145. lete list of all parties a available in the system is ae ile displayed after putting the cursor into the field and hitting the arrow down key on the keyboard Party BIC The designation of the Description securities account holder Securities all Selection from the securities accounts Selection 35 max Account The system searches for available for the securities account alphanum securities positions with holder any securities account of the inputting party or of the securities account holder Include Nil Empty check box Activating the check box includes Securities securities positions which hold no Positions current positions but held positions some time in the past in the search result list Date per Reference date used to display DD MM securities positions YYYY INFO This field shows the posi tions by the end of day of the previous day plus po sitions of the current day 8 2 Securities Posting Items It is possible to display the bookings of a securities transaction How to Open the Securities Posting Items Screen Step by Step 1 In the menu bar select Holdings gt Securities Posting Items The Securities Posting Items screen appears 132 Holdings CeKB CSD GmbH Securities Posting Items Figure 62 Securities Posting Items E E 1 10 of 60 Rows per page 10 25 50 100 1 2 3 4 5 7 A 10 next OCSD222100 14 08 2015 ATOOQOO0FACC 6 249 000 14 353 000 Y SETTLEMENT OCSD222100 1
146. lick on the reference of the restriction which you want to assign to the instruction 4 Click on the add gt button The reference of the selected restriction is assigned and displayed in the right hand side Restriction References field TIP If you have assigned a restriction reference in error use the lt remove button to move the reference back from the right hand side to the left hand side Restriction References field It is possible to assign more than one blocked or reserved positions of differ ent types to one instruction 5 Continue entering the Settlement Instruction 46 Settlement Instructions CekB CSD GmbH 4 1 5 Entering Linkages for an Instruction Example DVP It is possible to connect two or more instructions by means of so called linkages Entering linkages is possible during the step Additional Information when creating a new or editing an existing settlement instruction Linkages are defined in the drop down screen section Linkages The following instructions can be linked Two or more instructions Two or more intra position movements Instructions with intra position movements NOTE It is not possible to link instructions where the counterparty is the client of an external depository LOMMoOn RETeEPenCe gt Additional information Figure 26 Function link Linkages Create Settlement Instruction Additional Information Figure 27 Linkage for an instruction drop down screen s
147. list Allegements search result list Edit screens and details views All screens CSD GmbH Function Clicking on this icon reduces the size of the Settlement Client on your com puter screen Clicking on this icon sets the size of the Settlement Client on your computer screen to its default size Clicking on this icon increases the size of the Settlement Client on your com puter screen This icon indicates that no sort order has been specified for this list column Clicking on this icon changes the sort order to ascending This icon indicates that the data in this column are sorted ascending A Z 0 9 Clicking on this icon changes the sort order to descending To remove a column s sort order set the sort order for a different column This icon indicates that the data in this column are sorted descending Z A 9 0 Clicking on this icon changes the sort order to ascending To remove a column s sort order set the sort order for a different column Clicking on this icon opens the detail view of the record in this row Clicking on this icon opens the Review screen of the record in this row In the Review screen you can approve or reject the task Clicking on this icon opens the Edit screen of the record in this row Clicking on this icon shows the processing options available for the securities account in the respective row Clicking on this icon opens an additional screen section with check bo
148. low you to modify data 5 Modify the record as required 6 Modify the existing message subscription rules as required or add new rules 7 Click save to save your changes 143 Message Subscription 9 1 2 Party BIC Securities Account Instructing Party BIC Destination BIC Open Message Types 144 Content by system BIC of the securities account holder Auto Complete After input of the first or two consecutive characters of the BIC the system sug gests a list of BICs The complete list of all parties available in the system is displayed after putting the cursor into the field and hitting the arrow down key on the keyboard all The system searches for message subscriptions of all securities accounts of the securities account holder Auto Complete After input of the first or two consecutive characters of the BIC the system sug gests a list of BICs The complete list of all parties available in the system is displayed after putting the cursor into the field and hitting the arrow down key on the keyboard Auto Complete After input of the first or two consecutive characters of the BIC the system sug gests a list of BICs The complete list of all parties available in the system is displayed after putting the cursor into the field and hitting the arrow down key on the keyboard All check boxes ticked Field Descriptions Search Message Subscription Entry by user Selection from
149. ly in red typeface 6 Click save to save your changes INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a releaser The instruction is saved and submitted to the system for processing or for 4EP authori sation The system displays the Settlement Instruction Summary where you can verify the data you have entered The screen includes the Message History in a separate tab 7 Click ok in the Settlement Instruction Summary to confirm your entries The entry page appears 4 2 2 Modifying a Linkage for an Instruction The concept and modification of linkages for instructions is identical to entering linkages for instructions for the first time See Entering Linkages for an Instruction 79 Settlement Instructions 4 2 3 Cancelling Settlement Instructions If you want to cancel a settlement instruction you need to search for the instruction you are looking for Then you can click on the X icon on the right hand side of the row which displays the instruction to be cancelled DFP ST5MDAOOB 13 08 2014 1 000 0 00 RVP BIG007e140825 27 08 2014 ATO000A0U299 10 000 EUR 9 450 00 RFP BIG111a140825 27 08 2014 AT0000385745 10 000 0 00 DVP 5AD140812014c001 30 12 2014 ATO000720008 1 000 EUR 17 412 56 DVP 5AD140812014d4001 30 12 2014 AT0000720008 1 000 EUR 17 412 56 DVP AD140812014n001 30 12 2014 ATOOOO 720008 1 000
150. marked securities position labelled in an intra position movement as Restr Type Balance To EAR n 0 9 There are restrictions as to which combinations of Restr Type Balance From and Restr Type Balance To are permitted For details please refer to the Settlement Services Functional Guide and to the corresponding step by step descriptions for Blockings Reservations and Earmarking Drop down screen section Length Intra Position Movements CSD GmbH 5 2 Search Intra Position Movements You can search for intra position movements in order to modify them e g to increase or decrease positions or to find out which intra position movements are available to be assigned to instructions How to Open the Search Intra Position Movement Screen Step by Step 1 In the menu bar select Settlement gt Search Intra Position Movements The Search Intra Position Movements screen appears Search Intra Position Movement Search Reference customer Reference OOOO jo o SSS Restriction Referee OOOO Period Intended Settlement Date OOOO A w o E from oicc io lo N A amp from Criteria sN dC escrito settlement Quantity from to _ Sa Instructing Party BIC OFKOATWWXXX Securities Account al a Restr Type Balance from Restr Type Balance to all 7 OeKB CSD Status Criteria 7 25 Status Criteria search Figure 46 Search Intra Position Movements You can use the following drop down screen sections to enter sea
151. me Screen Securities Accounts Link to Search Settlement Instruction Overview Link to Search Intra Position Movement Link to Search Allegement Link to Search Physical Link to Display Securities Account Details Link to Display Securities Positions Link to Display Securities Posting Items ISIN Search Search for ISIN task box Tasks waiting for approval Tasks waiting to process Instruction Alerts 169 OQ User Roles and User Permissions Main Menu Home Screen Settlement Holdings Administration Menu Item Search Settlement Instructions Search Intra Position Movements Search Allegements Securities Positions Securities Posting ltems Cash Preview Message Subscription Four Eyes Principle Permissions Searching free of payment instructions and instructions versus payment Receive Free of Payment RFP Receive versus Payment RVP Receive with Payment RWP Payment Free of Delivery Debit Credit PFD Delivery Free of Payment DFP Delivery versus Payment DVP Delivery with Payment DWP Physical Searching restrictions for settlement instructions Searching free of payment allegements and allegements versus payment Searching and viewing securities positions Searching and viewing securities bookings Searching and viewing cash movements Searching and viewing message subscription settings Searching and viewing the settings for authorisation according
152. ment RWP Payment Free of Delivery Debit Credit PFD Delivery versus Payment DVP Delivery with Payment DWP searching and viewing securities positions Searching and viewing securities bookings Searching and Viewing cash movements Searching and viewing message subscription settings Searching and viewing the settings for authorisation according to the four eyes principle 167 OQ User Roles and User Permissions 13 4 Settlement Client VP Releaser NOTE The role Settlement Client VP Releaser can be assigned as an add on role to a regular user role to allow the user the additional permissions to authorise instructions according to the four eyes principle Main Menu Home Screen Home Screen Settlement Menu Item task box Search Settlement Instructions Search Intra Position Movements Permissions Tasks waiting for approval Approving or rejecting instructions versus payment Receive versus Payment RVP Receive with Payment RWP Payment Free of Delivery Debit Credit PFD Delivery versus Payment DVP Delivery with Payment DWP Approving or rejecting restrictions for settlement instructions 13 5 Settlement Client Physical User Main Menu Home Screen Home Screen Settlement Holdings Administration 168 Menu Item Securities Accounts Overview ISIN Search task box Create Physical Instruction search Physical Instructions Securities Posit
153. n to open the detail view You have the following options NOTE Not all button listed below may be available in all detail views aa Click on refresh to display new real time data received in the system The Settlement Client CSD GmbH ab Click edit to open the Edit screen of the record see b1 ff INFO The system only displays the edit button if your user permissions allow you to modify data ac Click on PDF Download to display and maybe save the record in PDF format b1 In the row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions allow you to modify data b2 Edit the entries which caused the status to be Hold or Pending or take other actions to enable the instruction or restriction to be processed e g necessary Coverage on the cash account external cash settlement linked instructions or restrictions with status Pending in the same pool etc b3 Click save to save your changes The changes are saved and submitted to the system for processing or for 4EP authorisation INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box b4 Click ok to return to the search result list c In the row containing the record to be cancelled click on the X icon The record will be deleted and will no longer be displayed in the searc
154. n Type RFP OWP RFP RVP RFP Customer Reference 20150327001aa OCSDO00000000031 RIL141121002a019 OTWNR 20150327002a Settlement Date ISIN 31 03 2015 16 03 2015 25 11 2014 03 02 2015 31 03 2015 ATOOO08 00800 ATOOOO00STR1 FROO10408799 ATOOOOAOLI3T4 ATOOO08 00800 Task Type Quantity 50 10 300 100 000 200 EUR EUR Currency il Amount 10 00 115 500 00 User Approval Task i Status Hew New Accepted New New search Py Py Py py Figure 13 Authorization of Instructions According to the 4 Eyes Principle example instructions How to Approve or Reject Tasks in the Search Result List Step by Step 1 In the row of the record you want to release click on the Review icon to open the Review screen 2 You have the following options a To authorise the record click approve The record has been released and will be submitted for further processing The task is no longer displayed in the task box b To decline authorisation of the record click reject The record will be added to the entries Tasks waiting to process in the Taskbox and will appear in the search result list showing the status approval rejected 3 Click ok to return to the search result list 29 The Settlement Client 3 4 4 3 Processing of Open Tasks Tasks waiting to process You can use the task box links below Tasks waiting to process to open the
155. n is cancelled and submitted to the system for processing or for 4EP Click on the search button The search result list containing all instructions matching your search criteria appears In the row containing the instruction to be cancelled click on the X icon Click yes in the pop up dialog If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a releaser authorisation The search result list is still available on the screen 81 OQ Settlement Instructions 4 2 4 Instruction History Settlement Instruction The Instruction History in the detail view of an instruction shows the detailed sequence of user actions see Securities Accounts list and user tasks see Task Box carried out for the specific instruction It also shows all messages inbound and outbound of the instruction The original messages can be accessed by clicking on the Detail icon NOTE It is not possible to edit entries in the Instruction History Settlement Instruction Details Instruction Details Settlement Parties Additional Information Instruction History Status History User Request Type User Status Timestamp User Task Type Message Type Reference Direction Create Settlement Instruction Test Usert Completed 24 07 2015 11 14 02 000 MT548 1006923674 Outbound 24 07 2015 11 15 51 324 MT548 1006923693 Outbound 24 07 2015
156. nation 1 00 Minimum multiple Quantity 1 00 Valid from 16 01 2015 Valid to Currency EUR Last Sync Time 26 05 2015 12 52 18 Depository OeKB CSD Vorbereitungs GmbH Depository valid from 15 01 2015 Ea Restrictions Restriction Type Description Valid from Valid to add Figure 11 Search for ISIN Securities Details 27 The Settlement Client 3 4 4 The Task Box On the entry page the task box shows tasks which need to be authorised by two persons according to the four eyes principle open tasks and instruction alerts for instructions with status Hold or Pending Tasks Alerts O Tasks waiting for approval gt 6 Settlement Instructon s gt Settlement Restricton s RR Tasks waiting to process gt 6 Settlement Instructon s gt Settlement Restric tonis instruction Alerts gt 41 Settlement Instruc tonis Figure 12 task box 3 4 4 1 Working With the Task Box The task box shows the following entries Tasks waiting for approval tasks waiting for release by a second set of eyes Tasks waiting to process open tasks Instruction Alerts alerts for instructions with status Hold or Pending INFO The task box only displays tasks which actually exists If there are currently neither tasks nor alerts the task box will only display its header Tasks Alerts The task summaries are active links which will open the respective task lists if you click on them The task lists are actually search results l
157. new subscription rule for details on the parameters please see the Field Descriptions TIP For the transaction status advices Accepted Pending Rejected and Cancel led in subscription rules of the type Settlement Instruction you may specify on a reason code level whether to receive or not to receive message Activate or deactivate the check boxes of the parameters as they shall apply to the new subscription rule 9 Click ok to confirm your changes The Edit Message Subscription screen appears again 10 Click save to save your changes At the top of the screen the system displays a confirmation as soon as your modifications have been saved 9 2 4 Field Descriptions Message Subscription Rule The description of the fields in the Message Subscription Rule screen is sectioned in three parts i e for the three different types Rule Type of subscription rules Settlement Instruction fig 74 Intra Position Management fig 76 Allegement fig 77 The following table describes the two uppermost fields of the screen which are identical to handle for all types rule type of subscription rules Field Content by system Entry by user Input Assist Length Party BIC BIC of the securities ac count holder Party BIC The designation of the Description securities account holder Securities Securities account defined z Account in the selected message subscription Destination BIC of the party specifie
158. nique reference for identification of the intra position movement 2 Inthe field ISIN enter the desired financial instrument In the field Description the system automatically completes the details stored for the selected financial instrument and in the field Quantity Type the type of listing TIP There is an auto complete function available in the ISIN field You need only enter the country code the system will then suggest a list of available ISIN 93 O Intra Position Movements 3 In the field Settlement Quantity enter the desired quantity or nominal value greater than 0 INFO The system automatically fills in the current date in the Intended Settlement Date field You may modify the date if required INFO If you do not make a selection in the optional Priority field the system will automatically assign priority Normal 4 Inthe field Restr Type Balance From select the freely available position AWAS TIP You may also use earmarked positions for this type of intra position movement To do so select the appropriate earmarked position in the Restr Type Balance From field 5 In the field Restr Type Balance To select one of the options defined for positions of the type Blockings 6 Click save to save the intra position movement INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a relea
159. ns of an Intra Position Movement Step by Step 1 In the menu bar select Settlement gt Create Intra Position Movement The Create Intra Position Movement screen appears The system automatically inserts the appropriate predefined values into the fields Instructing Party BIC inputting party incl Description Securities Account default securities account of the inputting party incl Description INFO The field Securities Account additionally displays the BIC of the securities ac count holder Settlement Quantity 0 000 Intended Settlement Date current date NOTE Remember to verify all the fields automatically completed by the system to make sure all details have been entered correctly INFO If you do not enter your own reference in the optional Customer Reference field the system will automatically generate a unique reference for identification of the intra position movement 2 Inthe field ISIN enter the desired financial instrument In the field Description the system automatically completes the details stored for the selected financial instrument and in the field Quantity Type the type of listing TIP There is an auto complete function available in the ISIN field You need only enter the country code the system will then suggest a list of available ISIN 3 In the field Settlement Quantity enter the desired quantity or nominal value greater than 0 INFO The system automatically fills in the curre
160. nstruction Alerts Creating instructions versus payment Receive versus Payment RVP Receive with Payment RWP Payment Free of Delivery Debit Credit PFD Delivery versus Payment DVP Delivery with Payment DWP Physical User Roles and User Permissions Main Menu Home Screen Holdings Administration Menu Item Create Intra Position Movement Search Settlement Instructions Search Intra Position Movements Search Allegements Securities Positions Securities Posting ltems Cash Preview Message Subscription Four Eyes Principle CSD GmbH Permissions Creating restrictions for settlement instructions Searching free of payment instructions and instructions versus payment Receive Free of Payment RFP Receive versus Payment RVP Receive with Payment RWP Payment Free of Delivery Debit Credit PFD Delivery Free of Payment DFP Delivery versus Payment DVP Delivery with Payment DWP Physical Modifying and cancelling instructions versus payment Receive versus Payment RVP Receive with Payment RWP Payment Free of Delivery Debit Credit PFD Delivery versus Payment DVP Delivery with Payment DWP searching modifying and cancelling restrictions for settlement instructions searching free of payment allegement and allegements versus payment and creating counter instructions versus payment Receive versus Payment RVP Receive with Pay
161. nt date in the Intended Settlement Date field You may modify the date if required If you do not make a selection in the optional Priority field the system will auto matically assign priority Normal 109 Intra Position Movements 4 Inthe field Restr Type Balance From select the positions type of the position where you want to decrease the securities NOTE There are restrictions as to which combinations of Restr Type Balance From and Restr Type Balance To are permitted For details please refer to the Settlement Services Functional Guide and to the corresponding step by step descriptions for Blockings Reservations and Earmarking Create Settlement Restriction 5 In the field Restriction Reference Rest Type Balance To select the reference of the intra position movement where you want to decrease the position 6 In the field Restr Type Balance To select the positions type of the position to which you want to allocate the securities TIP If you want to add the securities directly to a position already allocated to an intra position movement select the reference of the corresponding intra posi tion movement in the field Restriction Reference Restr Type Balance To There are options available in the field Restriction Reference only if intra po sition movements of the selected type have been previously entered 7 Click save to save the intra position movement INFO If an authorisation according to the 4 eyes principle is re
162. nt you are looking for Alleged Party BIC Securities Account i SSS m E U gt OeKB CSD Status Criteria 7 Settlement Parties search fe trui 10 Instruction Type Alleging Party BIC ISIN Quantity Currency i Amount Settlement Date Status RWP ATOOOO0FACC 1 000 EUR 2 22 26 08 2015 New RVP ATOOOO0FACC2 5 000 EUR 19 00 26 08 2015 New D a 2000 00 Ar a Figure 57 Search Allegements search result list 121 Allegements 7 1 1 Generating a Counter Instruction to an Allegement If you want to create the counter instructions to received allegement messages you need to search for allegements first You can then generate the corresponding counter instruction in an immediately following step How to Generate a Counter Instruction to an Allegement Step by Step 1 In the menu bar select the menu item A egement The Search Allegements screen appears The system automatically inserts the appropriate predefined values into the fields Settlement Amount Currency all Instruction Type all Transaction Type TRAD Alleged Party BIC inputting party Securities Account all Instruction Status New 2 Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all allegements matching your search criteria appears 4 In the row of the allegement to which
163. ntended to be used in the settlement instruction as previously specified in an intra position movement See Create Settlement Instruction step Additional Information For more information on intra position movements please refer to the Settlement Services Functional Guide 5 1 1 Blocking a Securities Position INFO The restriction type Blocking only allows to block the quantity of securities currently available in the posi tion TIP You can use the menu items Holdings gt Securities Positions to enquire the current securities positions avail able on a securities account How to Block a Securities Position current quantity max Step by Step 1 In the menu bar select Settlement gt Create Intra Position Movement The Create Intra Position Movement screen appears The system automatically inserts the appropriate predefined values into the fields Instructing Party BIC inputting party incl Description Securities Account default securities account of the inputting party incl Description INFO The field Securities Account additionally displays the BIC of the securities account holder Settlement Quantity 0 000 Intended Settlement Date current date NOTE Remember to verify all the fields automatically completed by the system to make sure all details have been entered correctly INFO If you do not enter your own reference in the optional Customer Reference field the system will automatically generate a u
164. ntry code the system suggests a list of ISIN ISIN The designation of the Description financial instrument 84 Entry by user Date range within which the intended settlement date of the instruction s to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Date range within which the effective settlement date of the instruction s to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Date range within which the trade date of the instruction s to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields ISIN of the instruction s to be found Country code then selection from the suggested list Input Assist Calendar icon Calendar icon Calendar icon Selection list after input of country code Length DD MM YYYY DD MM YYYY 12 alphanum Settlement Instructions CSD GmbH Field Content by system Entry by user Input Assist Length Settlement Value range within which the quantity
165. od ule where current invoice data are available Reports and statistics Overview of the terms used User Benefit Users see the securities positions on a securities account or in an ISIN Users see the securities posting items for a selected period either by securities account or by ISIN Users see the development of balances for individual cash accounts to plan ahead Users can define which messages they want to receive either by instruct ting party or by destination BIC Users can select the actions that will have to be autho rised by a second user Users see all fees charged by the OeKB CSD on digi tally signed invoices in PDF format Users can generate reports and statistics Users can look up the most important terms used in the Settlement Client user inter face and the user manual with a brief definition Visual Cues in the Settlement Client User Manual User Group Users who want to see the securities positions on a specific securities account or in a specific ISIN Users who want to see individual bookings in a specific ISIN or ona specific account Users who want to see the positions on specific cash accounts User administrators User administrators User controllers User controllers All users The user manual contains elements to emphasise information which is of particular importance to the user 2 2 1 TIP Tip Boxes Tip boxes contain instructions on ho
166. of ISIN Edit Detail View The ISIN selected during creation The designation of the financial instrument Create 0 000 Edit Detail View Quantity of the securities position to be blocked reserved or earmarked selected during creation After ISIN input or selection FAMT for financial instruments with a price as percentage of par face amount UNIT for financial instruments with a price per unit Entry by user Create CSD GmbH OQ Length BIC 11 Selection from the securities accounts avail able for the instructing party INFO In addition to the securities ac count number this field shows the BIC of the securities account holder Edit Detail View Country code then selection from the sug gested list Quantity of the securities position to be blocked reserved or earmarked 12 alphanum Decimal number 99 Intra Position Movements Field Settled Quantity Intended Settlement Date Mandatory field during Create automatically completed by the system Effective Settlement Date Priority 100 Content by system Entry by user Create Edit Detail View 0 000 or in case of settled intra posi tion movements the settled quantity or the settled nominal value of the financial instruments Create Date of the settlement date may be up to 60 calendar days in the past and up to 30 calen dar days in the future The current date E
167. of available ISIN 95 Intra Position Movements 3 In the field Settlement Quantity enter the desired quantity or nominal value greater than 0 INFO The system automatically fills in the current date in the Intended Settlement Date field You may modify the date if required INFO If you do not make a selection in the optional Priority field the system will automatically assign priority Normal 4 Inthe field Restr Type Balance From select the freely available position AWAS TIP You may also use earmarked positions for this type of intra position movement To do so select the appropriate earmarked position in the Restr Type Balance From field 5 In the field Restr Type Balance To select one of the options defined for positions of the type Reservations 6 Click save to save the intra position movement INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a releaser The intra position movement is saved and submitted to the system for processing or for 4EP authorisation The system displays the Intra Position Movement Summary where you can verify the data of the intra position movement you have entered 7 Click ok in the Intra Position Movement Summary to confirm your entries The entry page appears 96 Intra Position Movements CSD GmbH 5 1 3 Earmarking a Securities Position Ho
168. of the country code the system suggests a list of ISIN ISIN The designation of the Description financial instrument CSD GmbH Entry by user Input Assist Customer reference of the intra posi tion movement s to be found Market Infrastructure Transaction Identifier of the intra position move ment s to be found Reference of the intra position move ment s to be found assigned by T2S after settlement Date range within which the intended Calendar icon settlement date of the intra position movement s to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Date range within which the effective settlement date of the intra position movement s to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Selection list after input of country code ISIN of the intra position movement s to be found Country code then selection from the suggested list Length 16 max alphanum alphanum 16 max alphanum DD MM YYYY 12 alphanum 113 Intra Position Movements Settlement Quantity from to Quantity Type Instructing Party BIC Securities
169. on labelled in an intra position movement as Restr Type Balance To EAR n 0 9 The add gt button is used to assign restrictions OQ TIP It is possible to modify linkages in the Edit screen when editing an instruction Field Instruction Type Content by system Entry by user Length Sequential All Create Consecutive number of the newly 3 Number Z created instruction in the pool Integer Edit Detail View The consecutive number entered during creation 69 Settlement Instructions Field Instruction Type Content by system Entry by user Length Total Number All Create Total number of instructions intra 3 7 position movements in the pool Integer Edit Detail View The total number of instructions intra position movements entered during creation Linkages Pop up Dialog Linkage Type All Selection from the list Mandatory field After the instruction will be during Create settled after or at the same time as the one it is linked to Before the instruction will be settled before or at the same time as the one it is linked to m With the instruction will be settled at the same time as the one it is linked to Information this linkage has information purposes only and is chiefly created automatically by the system e g for auto collateralisation Reference All Selection from the list Type Mandatory field during Create Customer Reference The customer reference associa
170. on Notification MT548 sese 032 Status Advices Transaction Status Advice MT548 sese 024 Accepted NORE OTHR Pending NORE BLOC BOTH CDLR CLAC CMON CSDH CVAL FUTU INBC LACK LATE LINK MONY OTHR PART PRCY PREA PRSY SBLO Rejected NORE CASH DDAT DEPT DMON DQUA DSEC DTRD ICAG ICUS INVE INVL INVN MINO MUNO NCRR OTHR REFE SAFE SETR VALR Cancelled NORE CANI CANS CTHP Matched Cancellation Requested Cancellation Status Advice MT548 sese 027 Modification Status Advice MT548 sese 031 Confirmations Transaction Confirmation MT544 MT545 MT546 MT547 5e5 025 cancel ok Figure 74 Message Subscription Rule Settlement Instruction 150 Message Subscription CSD GmbH Reason Codes Reason Codes Data E Select all CANI Cancelled by Yourself CANS Cancelled by System CTHP Cancelled by Third Party NORE No Specified Reason Elsi Ss amp Figure 75 Transaction Status Advices Reason Codes example cancelled Message Subscription Rule Message Subscription Rule Party BIC Description Securities Account Destination BIC Rule Name OoOo O Of Rule Type Intra Positon Movement Instructing Party BICs Status Advices Intra Position Movement Status Advice MT548 semt 014 Confirmations Intra Position Movement Confirmation MT508 semt 015 cancel ok Figure 76 Message Subscription Rule Intra Position Management 151 Message Subscription Message Subscription Rule Mess
171. on type RFP RVP RWP PDF Debit DFP DVP DWP PFD Credit 159 Four Eyes Principle Edit Four Eyes Principle Four Eyes Principle Settings Sec Acc Number Description Intra Position Movement Physical Create Erase RFP Receive Free of Payment Instructions RVP Receive versus Payment Instructions RWP Receive with Payment Instructions PFD Payment Free of Delivery Debit Instructions DFP Delivery Free of Payment Instructions DVP Delivery versus Payment Instructions DWP Delivery with Payment Instructions m a PFD Payment Free of Delivery Credit Instructions cancel save Figure 79 Four Eyes Principle 10 1 1 Specifying Four Eyes Principle Settings The Four Eyes Principle settings help you to specify the types of records which need to be approved by a second person before they are submitted to the system for processing How to Specify the Settings for Authorisation According to the 4 Eyes Principle Step by Step 1 In the menu bar select Administration gt Four Eyes Principle The Four Eyes Principle screen appears 2 In the row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions allow you to modify data 3 Activate the check boxes of all the types of settlement instructions which have to be released by a second person before they are submitted to the system 4 Click save to save the settings for au
172. ontent by system Entry by user Input Assist Length Instruction all Selection from the list Selection Status The system searches for New to search only for newly Intra position movements created intra position movements with any instruction status Accepted to search only for intra position movements already accepted for processing by T285 Pending to search only for intra position movements for which T2S has returned status Pending Settled to search only for settled intra position movements Cancelled to search only for can celled intra position movements Rejected to search only for intra position movements rejected by the system Task Type all Selection from All open tasks User selection The system searches for intra position movements with any type of task CSD GmbH approval task or User processing task By selecting All open tasks it is possible to search exclusively for all tasks not yet closed By selecting User approval task it is possible to search exclusively for tasks waiting for approval by a user By selecting User processing task it is possible to search exclusively for tasks with status Hold or Pending 117 Intra Position Movements 5 2 8 3 T2S Status Criteria Field Content by system Entry by user Input Assist Length Processing all Selection from Accepted Cancelled Selection Status The system searches for or Rejected intra position movements By selecting Accep
173. ory field during Create Edit Detail View Released or Hold CSD Hold All Create Status This field is not displayed in the Create screen Additional The designation of the displayed status Match Status All Create Edit Detail View unmatched or matched 58 Settlement Instructions CSD GmbH Field Instruction Type Content by system Entry by user Length Cancellation All Create Requested 7 Edit Detail View no as long as no cancel lation has been sub mitted yes if a cancellation of the instruction has been entered 4 1 6 2 Settlement Parties Step 2 Field Instruction Type Content by system Entry by user Length Add Delivering ppp Delivery BIC Depository of the Create Party Free of Pay Delivering Party de Additional Delivering Party as ment pository of the inputting required Clicking on the link opens or DVP Delivery participant 2 the following olga sections in BIC Securities consecutive order versus Pay Account Delivering mem Party BIC and secu Depository of the Delivering W Party DWP Delivery rities account of the with Payment inputting participant Delivering Party PFD Payment Client of the Delivering Party Free of Delivery see field descriptions Client of Credit the Receiving Delivering Party below Delivering Party 3 Delivering Party 4 Delivering Party 5 A maximum of 5 participants can be entered NOTE Enter the recei
174. ository BIC party in the instruction s to be found Delivering BIC of the delivering party in the in BIC11 Party BIC struction s to be found 4 2 6 5 More Criteria Screen Section Field Content by system Entry by user Input Assist Length Priority all Selection between High or Normal Selection The system searches for By selecting High it is possible e g to instructions with any search exclusively for instructions with priority high priority 90 Settlement Instructions CSD GmbH Field Content by system Entry by user Input Assist Length Partial all Selection between Partial allowed or Selection Settlement The system searches for Partial not allowed Ind instructions with any By selecting Partial allowed it is Partial Settlement Indi possible e g to search for instructions cator where partial settlement is permitted Externally Selection between yes or no Selection Matched This functionality will be finalised at a later date 91 Intra Position Movements 5 Intra Position Movements Via the menu item Sett ement you can create new intra position movements or search for specific intra position movements in the system Intra Position Movements are used to block reserve or earmark positions on a securities account for later use as specific positions to be settled in a settlement instruction 5 1 Create Intra Position Movement How to Open the Create Intra Position Movement Screen Step by Ste
175. ou do not enter your own reference in the optional Customer Reference field the system will automatically generate a unique reference for identification of the intra position movement 2 Inthe field ISIN enter the desired financial instrument In the field Description the system automatically completes the details stored for the selected financial instrument and in the field Quantity Type the type of listing TIP There is an auto complete function available in the ISIN field You need only enter the country code the system will then suggest a list of available ISIN 3 In the field Settlement Quantity enter the desired quantity or nominal value greater than 0 INFO The system automatically fills in the current date in the Intended Settlement Date field You may modify the date if required If you do not make a selection in the optional Priority field the system will auto matically assign priority Normal 107 OQ Intra Position Movements 4 Inthe field Restr Type Balance From select the positions type from which to allocate the securities to the blocked reserved or earmarked position NOTE There are restrictions as to which combinations of Restr Type Balance From and Restr Type Balance To are permitted For details please refer to the Settlement Services Functional Guide and to the corresponding step by step descriptions for Blockings Reservations and Earmarking Create Settlement Restriction TIP If you want to use s
176. ovements ccccsseseseeceeeeeneees Modification Status Advice Message Subscription Rules cccccccsssssseeecccenaneseeees MT508 semt 015 Message Subscription Rules ccccccccsseseeecceceeaeseeees MT544 M1T545 M1T546 M1547 sese 025 Message Subscription Rules cccccccsesssecccccseensseees MT548 semt 0 14 Message Subscription Rules ccccccssesssesccccseesseess MT548 sese 024 Message Subscription Rules cccccccsssssseeccecennneeeeees MT548 sese 027 Message Subscription Rules cccccccssssssesccccesnnseeeees MT548 sese 03 1 Message Subscription Rules ccccccssessseeccccseensseees MT548 sese 032 Message Subscription Rules ccccccsssssseeccccseensseees MT578 semt 020 Message Subscription Rules ccccccccssessesececcnsnseeeees MT578 sese 028 Message Subscription Rules ccccccccssssseeccecceaneneeees MT578 sese 029 Message Subscription Rules ccccccssessseeccccseeesseees Name and Address Create INStrUCTION cccccccseesseecccccscssscecccccscasssescecees Narrative Trade Details Create INSTFUCTION vis ica vearssaspecvvsarsoswnvondervaianatannidatiarntes number nala srair e aE Open Message Types Search Message SUDSCHrIPtion cccccccccsssseseeecceeeneees Opening Date Securities Account Detalls cccccccseessecccsssececeessecees Opt out Indicator Create INSTUCUON acassareh canst Secsteaketcaved deiatencenianctceect Partial Sett
177. p 1 In the menu bar select Settlement gt Create Intra Position Movement The Create Intra Position Movement screen appears A detailed description of all fields their interdependences from one another or from master data settings and permitted input e g numbers text dates length etc is available in the Field Descriptions table Create Intra Position Movement Intra Position Movement Details Instructing Party BIC rere Description Securities Account Ee Description ISIN Po Description Settlement Quantity Settled Quantity Intended Settlement Date 31 08 2015 Ee Effective Settlement Date Priority lease select ea Restr Type Balance from please select a Restriction Reference please select Restr Type Balance to please select 7 Restriction Reference please select 7 Linkages Save Figure 44 Create Intra Position Movement The following chapters are step by step descriptions of how to create new intra position movements of the types Blocking blocking of a securities position up to the entire position max Reservation reservation of a securities position without limitation to the current quantity of the position Earmarking earmarking of a position e g for auto collateralisation 92 Intra Position Movements CSD GmbH INFO To use a position labelled Blocking or Reservation in an instruction specify the restriction reference of the blocked or reserved position i
178. per page 17 07 2014 18 07 2014 23 07 2014 07 08 2014 12 06 2014 E Debit Movements 0 00 0 00 7 000 00 0 00 Credit Movements 200 00 13 123 00 10 00 6 000 00 Figure 65 Search Cash Preview search result list Description Oesterreichische Kontrallbank Cash Account purpose Intended Settlementdate 29 08 2015 to Incl Allegements E search Date to lt x T1 2014 ET incl allegements E search Total Movements Furpose Currency 200 00 SETTLEMENT 13 123 00 CLEARING 6 990 00 SETTLEMENT EUR 000 00 SETTLEMENT EUR 137 Holdings 8 3 1 Displaying the Cash Balance With the cash preview you can determine the cash balance on a securities account for a specified future period of time Step by Step 1 In the menu bar select Holdings gt Cash Preview The Search Cash Preview screen appears The system automatically inserts the appropriate predefined values into the fields Party BIC inputting party incl Description Securities Account all Cash Account all Currency all Purpose all Intended Settlement Date from date one month before the current date Intended Settlement Date to date one month after the current date 2 Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all cash movements matching your search criteria appea
179. ppears 4 You have the following options a1 Inthe row of the record you want to enquire click on the amount displayed in the columns Earmarked Blocked or Reserved to follow the integrated link to the subbalances The pop up dialog Subbalances appears a2 Click on the button close to return to the Securities Positions screen b Click on the download as Excel button to save the data in a Microsoft Excel file c Click on the download as PDF button to save the data in a PDF file 8 1 3 Field Descriptions Securities Positions Field Content by system Entry by user Input Assist Length ISIN Auto Complete After Country code then selection from the Selection list 12 input of the country code suggested list after input of alphanum the system suggests a list country code of ISIN ISIN The designation of the Description financial instrument Holdings Field Content by system Entry by user Input Assist Length Party BIC BIC of the enquiring party Selection from all authorised parties Selection list BIC11 or BIC of the securities Input of the first or two consecutive after input of account holder characters of the BIC then selection the first or of Auto Complete After from the suggested list two l input of the first or two consecutive consecutive characters of INFO If there is only one autho CParacter s the BIC the system sug rised party the inputting gests a list of BICs The l party no entry is accepted comp
180. put of the first or of two consecutive character s Allegements CSD GmbH Field Content by system Entry by user Input Assist Length Securities all Selection from the securities accounts Selection 35 max Account The system searches for available for the instructing party if a alphanum allegements with any selection has been made in the In securities account of the structing Party BIC field inputting party INFO In addition to the securities account number this field shows the BIC of the secu rities account holder Alleging Party BIC of the party who created the BIC11 BIC allegement as an instruction where the inputting party is the counterparty 7 1 2 2 OeKB CSD Status Criteria Field Content by system Entry by user Input Assist Length Instruction New Selection from all New Removed or Selection Status The system searches for Cancelled allegements with status By selecting all it is possible to search New for allegements of any instruction status By selecting New it is possible to search exclusively for newly created allegements By selecting Removed it is possible to search exclusively for allegements for which a counter instruction has already been created By selecting Cancelled it is possible to search exclusively for allegements to instructions which have been cancelled 7 1 2 3 Settlement Parties Screen Section Field Content by system Entry by user Input Assist Length Receiving BIC of the depository
181. quired this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a releaser The intra position movement is saved and submitted to the system for processing or for 4EP authorisation The system displays the Intra Position Movement Summary where you can verify the data of the intra position movement you have entered 8 Click ok in the Intra Position Movement Summary to confirm your entries The entry page appears 110 Intra Position Movements CSD GmbH 5 2 5 Search Intra Position Movement How to Search for an Intra Position Movement Available to be Used in an Instruction Step by Step 1 In the menu bar select Settlement gt Search Intra Position Movements The Search Intra Position Movements screen appears The system automatically inserts the appropriate predefined values into the fields Instructing Party BIC inputting party incl Description Securities Account all Restr Type Balance from all Restr Type Balance to all Instruction Status all Task Type all Processing Status all Settlement Status all 2 Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all intra position movements matching your search criteria appears 5 2 6 Instruction History Intra Position Movement The Instruction History
182. rch criteria Search this section is displayed when the screen is opened for the first time fig 46 OeKB CSD Status Criteria fig 47 12S Status Criteria fig 48 TIP The system records the screen sections displayed and the search screen appears in the same way when you open it the next time OeKB CSD Status Criteria Instruction Status all Task Type all 7 Figure 47 Search Intra Position Movements OeKB CSD Status Criteria 103 2 0 Intra Position Movements 25 Status Criteria Figure 48 Search Intra Position Movements T2S Status Criteria TIP Clicking on search without entering search criteria lists all intra position movements available in the sys tem To search for a specific intra position movement s enter criteria in the fields which best characterise the intra position movement you are looking for 5 2 1 Modifying Intra Position Movements If you want to modify the priority of an intra position movement or add or modify linkages for the intra position move ment you need to search for the intra position movement you are looking for Then you can use the Edit screen to make the desired changes You may change the entries in the following fields of the Edit screen Priority Linkages drop down screen section WS UUE Um se UUES m Restr Type Balance trom all hdl Restr Type Balance to all hdl OeKB CSD Status Criteria 7 25 Status Criteria search po 10 1 Instr Party BIC Sec Account
183. rent date in the Intended Settlement Date field You may modify the date if required INFO If you do not make a selection in the optional Priority field the system will automatically assign priority Normal 4 Inthe field Restr Type Balance From select the freely available position AWAS TIP You may also use other positions to define earmarked positions To do so select the appropriate blocked reserved or another earmarked position in the Restr Type Balance From field 97 Intra Position Movements 5 In the field Restr Type Balance To select one of the options defined for positions of the type Earmarking 6 Click save to save the intra position movement INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a releaser The intra position movement is saved and submitted to the system for processing or for 4EP authorisation The system displays the Intra Position Movement Summary where you can verify the data of the intra position movement you have entered 7 Click ok in the Intra Position Movement Summary to confirm your entries The entry page appears 5 1 4 Entering Linkages for an Intra Position Movement The concept and entry of linkages for intra position movements is identical to linkages for instructions See Entering Linkages for an Instruction 5 1 5 Field Descriptions Create ntra Po
184. rnan aiee NRT 62 Customer Reference Create Intra POsition MOVEMENL ccccccceseseceeeeeeees 131 ATS TG Oa a A eee 16 Date from Securities POSTING OMS wiisicsrrssseessapseadesansdoseasvvansderds 191 Date per Securities POSITIONS cccccsessecccsessecccscnsecccccsceccssensecess 186 Date to Securities POSTING ICIS cccccsssessccccccceensssecccsecaaeeeeees 191 Default Instr Format Securities Account Details ccccccsessecccsenseccceensececeens 32 Default Sec Account Securities Account Details ccccccseseccccsesseccceenseceenees 31 Delivering CSD Part BIC SONENN TOC ON o Tn ENN 123 Delivering Depository BIC Search Allegements cccccccssensseccccccccnsssecccccseeasseecs 179 SOA CT INETU ON oesie t hrein EE TOE EET 123 Delivering Party BIC Search Allegements cvnsdsnsaviiosindunsecapsaeiunasnudeouapbrtnuvaes 180 Description BIC Client of the Receiving Delivering Party Greate INSTUICTON isseire a sue 83 Description BIC Delivering Receiving Party Create Instruction cccsesssccccccsensssecccccsccssescccsseeasseees 81 Description BIC Depository of the Delivering Receiving Party Create Instruction s ssseeensssssoeeresssseerrrssssseeressssseeee 79 Description Instructing Party BIC Create Intra Position Movement saaaasasenenees0s0nes 133 Description Instructing Party BIC Credle MEVO ON erri erar N 64 Description ISIN Create INSUUCUON nirsercisiisirriirreii neei e
185. rom all Restr Type Balance to all Instruction Status all Task Type all Processing Status all Settlement Status all 2 Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all intra position movements matching your search criteria appears 105 Intra Position Movements 4 You have the following options a1 In the row of the record you want to modify click on the Details icon to open the detail view a2 Click edit to open the Edit screen of the record INFO The system only displays the edit button if your user permissions allow you to modify data b In the row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions allow you to modify data 5 Modify the record as required Increase the position or decrease the position NOTE Depending on the processing status and the type of the intra position movement some fields may be disabled 6 Click save to save the intra position movement INFO If an authorisation according to the 4 eyes principle is required this record will be listed in the Tasks waiting for approval section of the task box until it gets authorised by a releaser The intra position movement is saved and submitted to the system for processing or
186. ross CSD settlement 1 In the field BIC Delivering Receiving Party enter the BIC of the CSD participant NOTE If required complete the optional fields in the Client of the Delivering Receiving Party section or add more parties in the hidden screen sections Add Receiving Party or Add Delivering Party Please refer to chap ter Field Descriptions for more details on the individual fields If filled some optionals fields become matching criteria For details please refer to the Settle ment Services Functional Guide INFO The BIC Delivering Receiving Party field shows the BIC of the instruction s counterparty For Delivery instruction types and for PFD Credit the system expects input of the BIC of the receiving party for Receive instruction types and for PFD Debit of the BIC of the delivering party TIP If you want to remove a party you have added click on the X icon at the top right of the additional screen section You can remove the added parties one by one starting with the one that was added last 2 Click next or click on the next step in the screen s header or footer The Additional Information page appears 42 Settlement Instructions KB CSD GmbH 4 1 3 Entering Additional Information Example DVP Create Settlement Instruction stirs nirmaton Norm e Partialsettlement ind Opt out indicator O eee Figure 22 Create Settlement Instruction Additional Information Example DVP
187. rs 8 3 2 Field Descriptions Search Cash Preview Field Content by system Entry by user Input Assist Length Party BIC BIC of the inputting party Selection from all authorised parties Selection list BIC 11 or BIC of the securities Input of the first or two consecutive after input of account holder characters of the BIC then selection the first or of Auto Complete After from the suggested list two input of the first or two consecutive consecutive characters of INFO If there is only one autho character s the BIC the system sug rised party the inputting gests a list of BICs The party no entry is accepted complete list of all parties Pera available in the system is meate displayed after putting the cursor into the field and hitting the arrow down key on the keyboard Party BIC The designation of the Description securities account holder Securities all Selection from the securities accounts Selection Account The system displays the available for the securities account cash balance of all securi holder ties accounts of the secu rities account holder 138 Holdings CSD GmbH Field Content by system Entry by user Input Assist Length Cash Account all Selection from the cash accounts Selection The system displays the available for the selected securities cash balance of all cash account accounts for the selected ee securities account of the INFO The selection in this field securities account holder becom
188. ructions Field Instruction Type Content by system Entry by user Length Securities All The designation of the Account selected securities Description account Cash Account RVP Receive The cash account de Create versus Pay fined as the default for Selection from the cash accounts ment the currency selected in available for the instructing party the Settlement Amount _ _ RWP Receive Currency field Edit Detail View with Payment T PFD Payment Free of Delivery Debit DVP Delivery versus Pay ment DWP Delivery with Payment PFD Payment Free of Delivery Credit RFP Receive This field is not displayed for the two instruction types Free of Payment RFP Free of Pay and DFP ment DFP Delivery Free of Pay ment ISIN All Create Country code then selection from 12 Mandatory field Auto Complete After the suggested list alohanum during Create input of the country code the system suggests a list of ISIN Edit Detail View The ISIN selected during creation 54 Settlement Instructions CSD GmbH Field Instruction Type Content by system Entry by user Length ISIN All The designation of the Description financial instrument Settlement RFP Receive Create Quantity or nominal value of the Decimal Quantity Free of Pay 0 000 financial instrument number Mandatory field ment A value greater than zero ing Creat ik Seka ai ier RVP Receive Edit Detail V
189. s Field Content by system Entry by user Input Assist Length Incl Empty check box Activating the check box includes Allegements allegements to the securities posting items in the search result list 140 Message Subscription Message Subscription The message subscription Administration controls the receipt of SWIFT messages There can be several message subscription rules defined for each securities account A message is sent if at least one subscription rule so requires For details please refer to the Settlement Services Functional Guide NOTE The functions in the Administration menu are only available to users with administrator user permissions INFO Message subscriptions are automatically assigned in the securities account master data when the account is created The default setting automatically activates the receipt of all messages You can use the message subscription to restrict the message types which will be received 9 1 Search Message Subscription You can search for message subscriptions in order to modify them How to Open the Search Message Subscription Screen Step by Step 1 In the menu bar select Administration gt Message Subscriptions The Search Message Subscription screen appears Search Message Subscription Search Party BIC OEKOATWWKXX Securities Account all Instructing PartyBIC fs Destination BIC Se Open Message Types search Figure 66 Search Message Subscription
190. s to be found shall lie number If you leave one of the fields empty the system will search starting from or ending with the value that has been entered If you are searching for a specific quantity enter the same value into both fields Settlement all Selection from CHF EUR GBP USD Selection 3 Amount The system searches for RUB alphanum Currency allegements with any currency 124 Allegements CSD GmbH Field Content by system Entry by user Input Assist Length Instruction all Selection from the list Selection Type The system searches for RFP Receive Free of Payment to allegements with any search only for allegements of type instruction type RFP RVP Receive versus Payment to search only for allegements of type RVP RWP Receive with Payment to search only for allegements of type RWP PFD Receive Free of Delivery Debit to search only for allege ments of type PFD Debit DFP Delivery Free of Payment to search only for allegements of type DFP DVP Delivery versus Payment to search only for allegements of type DVP DWP Delivery with Payment to search only for allegements of type DWP PFD Receive Free of Delivery Credit to search only for allege ments of type PFD Credit 125 Allegements Transaction Type Alleged Party BIC 126 Content by system TRAD Standard Instruction The system searches only for allegements of trans action type T
191. s SCreen sscecccceseeeseees 28 Securities Account Client of the Receiving Delivering Party Create Instruction screen csssssceccccccessssececceseeessees 84 Securities Account field Cash Preview screen scccccccsesssececccseesseeccceseeessess 195 Create Instruction screen csssssecccccceeesssesecceseeeseees 64 Create Intra Position Movement SCreen sseeeees 133 Edit Message Subscription SCreeN cccccsseeeeeeeeeeeeees 205 Message Subscription Rule SCreen ssseeeeeeeeeeeees 215 Search Allegements screen sceccccccssssseeecceseeeeees 178 Search Instruction screen sesssscccccceesssseccceseeeseees 118 Search Intra Position Movements SCreen sseeeees 160 Search Message Subscription SCre N ccccceeseeeeees 202 Securities POSITIONS screen scccccccceessseeecceneeeseees 186 188 Securities Posting Items SCreeN csesseeccceeeeeseees 190 Securities Account Receiving Delivering Party field Create Instruction screen ccccccessecccceesseccceessececeenees 81 securities account detail VIEW sscccccsssscccssssseeeeees 26 Securities Account Detaills sssccccsssssscccesssseceeees 26 Securities Account Details fields AUTO RECEIVE ireira E tad ag ONS 32 Auto Collateralisation Cash Accounts 35 BIOCKIMNE Date TOM srono T O 30 BIOGK IMG DIO TO rasi OE
192. s for an instruction Clicking on this button moves the selected entry from the left to the right field The entries in the right field will then be used for performing the cor responding action Clicking on this button releases the entry It is submitted to the system for processing Clicking on this button takes you back to the previous completed step of the screen See also below Clicking on this button terminates your entering data in the pop up dialog The dialog is closed without confirming or saving any data entered Clicking on this button closes the pop up dialog The Settlement Client Element delete th download as Excel download as Pdf edit Excel Download hide update next ok PDF Download Usage Detail views Search result lists detail views and Settlement Instruction Summary Search result lists detail views and Settlement Instruction Summary Detail views Search result lists Edit screens and details views Review screens Edit screens and details views Create Settle ment Instruction screen also in its representa tion as Edit screen and detail view Pop up dialogs for confirmation of deletions Settlement Instruction Summary pop up dialogs Message Subscription Rule screen Search result lists Edit screens and Function Clicking on this button deletes the record displayed in the detail view cur rently opened This button is onl
193. scription Rule SCreen sssseeeeeeeeeeees 221 Cash Account esreiroriar e ase eeuiecseldasuneee 26 Cash Account field Cash PrevieW SCION eonia A 196 Create Instruction SCIEN osrin ia 65 Cash Account Number field Cash Account pop up didl0g cccccccssssssseeecccseeeeees 33 Cash Account Type field Cash Account pop up dialog nesssseeenssssseeensssssseersssss 33 cash accounts of a securities account ssssseeecsssssee 26 cash movements essssecsseccsseccseccssecosecossecosecossecoseesose 193 cash PrEVIEW nuire E niasisaesentainns 193 Cash Preview fields CSM ACCOUN Maara orvan cores loeb cx etrot evetaes 196 EE A E I E A T A E A 196 Description Party BIC sss siccesssaciace sacteeseacssiessacneestues 195 WG AICS EIMOMUS o EEA ES 198 Mer Unmmate hed sarrin eea a E ES 197 Intended Settlement Date from cccccccessececeeeseeees 197 Intended Settlement Date to eecccceessececeeeeeeees 197 ETAETA E sc Gren EN OEE AAE E A E S 195 PUN DOSE tosia E 196 SECUPITISS ACCOUNG ncccnticccesuccosectitedavestucenieenetisecnsetevuceueae 195 Cash Preview menu item cccccccccccccccccccccccccececeeees 193 Cash Settlement field 176 Cash Account pop up dialog sssccsvceisscicsesecsabesalarsacesseswevens 35 Cencellation Requested field Create Instruction screen esssssssseesssseeessseeresseseesseeressees 74 chapter OVENVICW cstns ticae ens ree aE R 9 CHECK DOK so
194. searches for instructions with any Hold status related to blocked securities accounts For more details about blocked securities account categories and the settle ment of instructions for blocked securities ac counts please refer to the Settlement Services Functional Guide CoSD Hold all Status The system searches for instructions with any Conditional Securities Delivery Hold status Processing all Status The system searches for instructions with any processing status Pending all Reason Codes CSD GmbH Entry by user Input Assist Length Selection between Hold or Released Selection By selecting Hold it is possible e g to search exclusively for instructions which require other processing steps due to the blocked status of a secu rities account Selection between Hold or Released Selection By selecting Hold it is possible e g to search exclusively for multicurrency DVP instructions which have not yet been settled externally Selection from Accepted Cancelled Selection Rejected or Cancellation Requested By selecting Accepted it is possible to search exclusively for instructions which have already been accepted by the system for processing By selecting Cancelled it is possible to search exclusively for cancelled instructions By selecting Rejected it is possible to search exclusively for instructions which have been rejected by the system By selecting Cancellation Requested
195. ser The intra position movement is saved and submitted to the system for processing or for 4EP authorisation The system displays the Intra Position Movement Summary where you can verify the data of the intra position movement you have entered 7 Click ok in the Intra Position Movement Summary to confirm your entries The entry page appears Intra position movement sent to T25 Create Intra Position Movement Intra Position Movement Details Customer Reference ocspoo0000000109 MITI Instructing Party BIC _ lt Description Securities Account Description ISIN ATOOOO0AMAG3 Description AMAG SHS Settlement Quantity 10 000 UNIT Settled Quantity 0 000 Intended Settlement Date 31 08 2015 Ee Effective Settlement Date Priority please select Restr Type Balance from AWAS Deliverable Securities Position Restriction Reference please select Restr Type Balance to RES1 Case 3 position reservation Restriction Reference please select 7 Linkages ok Figure 45 Create Intra Position Movement Summary after saving 94 Intra Position Movements CSD GmbH 5 1 2 Reserving a Securities Position INFO If the quantity of the intra position movement exceeds the securities available in the position All future securities of the same ISIN booked on the same securities account will be automatically reserved until the total quantity of the reservation is covered TIP With a reservation you can flag mor
196. seseeeceeeeeeees 224 MT578 sese 029 field Message Subscription Rule screen sssssseesssssseeessss 224 N Name and Address field Create Instruction screen ccccccccsssssseeecceseeeseeeeeess 84 Narrative Trade Details field Create Instruction screen esssssseeesssssseeersssssseeeessssseee 90 next DUNO sirnaan anora eeann N AEE EEANN 18 MO BUTON ssisscssentasuicanavscesouseassessesinscoubeandenensiavcssseandasenens 18 NOLES DOR arosine 11 number field ooossssssssseseccccccossssssseeeseecccccssssssssssseeeesoso 15 O OK DUTTOT arrrioanorsin tarairi n annA aE ENAT 18 Open Message Types fields 185 O Entries P R Search Message Subscription SCIree N cccccceeseeeees 204 Open TASKS uars e E A aseseiese 39 Opening Date field Securities Account Details SCree n sscccccceeeeeseees 29 Opt out Indicator field Create Instruction screen ssesesssssseeeeesssssereessssseeeesssss 89 P Partial Settlement Default field Securities Account Details Screen sssssseeesssssseeeessss 32 Partial Settlement Ind field Create Instruction screen sseeeesssssseeesssssseseessssseeeesssss 88 Search Instruction screen ssssesessssseesesssssseseessssseseess 124 Party BIC field Cash Preview screen ssesesssssseecessssseecesssssseceesssseeceess 195 Edit Message Subscription SCIeeN cccccseeeeeeeeeeeeeees 204 Message Subscription
197. sition Movement INFO The Create Intra Position Movement screen is used as Intra Position Movement Detail when displaying an intra position movement with exactly the same appearance Field values or entries which differ between these variants of the screen are listed with the descriptions of the respective fields below Field Content by system Entry by user Length Customer Create Own reference 16 max Reference If left empty by the user the system alphanum will generate a unique reference Edit Detail View The customer reference of the in struction MITI Create Edit Detail View The unique Market Infrastructure Transaction Identifier automatically assigned as soon as the intra position movement has been accepted by the system 98 Intra Position Movements Field Instructing Party BIC Mandatory field during Create automatically completed by the system Instructing Party BIC Description Securities Account Mandatory field during Create Securities Account Description ISIN Mandatory field during Create ISIN Description Settlement Quantity Mandatory field during Create Quantity Type Content by system BIC of the inputting party The designation of the instructing party The securities account defined as the default The designation of the selected securities account Create Auto Complete After input of the country code the system suggests a list
198. ssesseeeeeees 30 Blocking Date to field Securities Account Details screen ccceccceeeeeseeeeeeees 31 Blocking Reason field Securities Account Details screen ccccccceeseseeeeeeeees 31 DOX WIIN 2 TICKS errena a 20 Branch field Edit Message Subscription SCreeN ccsseeeeeeeeeeeeees 206 bp llet POINTS ICON unseren 21 b llet d NIST iGO wes ccsncentasanavenasonesennequvacsaceranxsncamnanarevarerass 21 button 2 TOMO C csicuseg vested E Uosadcenpecicusnas 18 UO oa toes ecto NEE E A E E EA E tans 16 NG REE A E ET E E A T 16 Gl E E A E E EE 16 PO VOE E E A AEAN E 16 175 O Entries C C DAG K tiesto rinn acstese nese vee A 17 GAG aa coosstuiteas es recreate T 17 CVO SC E O E E E E OI serene E TA 17 de TO aA A 17 download as Excel sseensseesseeesseessecesseessecesscesseessseessee 17 d wnload aS PDP serie aa a ANAS 17 S16 EEEE EE E E er re ee 17 Excel DOWMOGG sriain 17 HdeupdI eene 17 MOK oie EE E E AE 18 no 18 OE o a teem ee en aes E 18 PDFDOWM Oa raosira a a NERA 18 REEE N TEE EENE O EIEEE E TEE 18 FEJE Ton ne O A T 18 FEMOVG reana a a A Ea 18 ROSCL E AT E A A O AE 18 SAV E O E E E E T SE 18 SOA a a aoe as os non nes AOO 18 SOW UDG AlC sena set aemeeoas 18 5 SS eRe RU ENP RRS TT rt RNA PLE nS A Ne OP 18 C Calendar C0nhousncinesnai 19 cancel Settlement MISTFUCTI ON aa a E 104 cancel DUTTON seircean ER 17 Cancellation Status Advice field Message Sub
199. ssing Accepted NORE 17 21 17 034 Status 30 06 2015 Settlement Pending LATE SPSTO09 Settlement Instruction is unsettled because it is 17 21 22 011 Status suspended refresh edit PDF Download Figure 43 Status History Settlement Instruction 4 2 6 Field Descriptions Search Settlement Instructions The description of the fields in the Search Settlement Instructions screen is sectioned in four parts i e the four drop down screen sections Search this section is displayed when the screen is opened for the first time fig 29 OeKB CSD Status Criteria fig 30 12S Status Criteria fig 31 Settlement Parties fig 33 More Criteria fig 34 TIP The system records the screen sections displayed and the search screen appears in the same way when you open it the next time 4 2 6 1 Search Screen Section Field Content by system Entry by user Input Assist Length Reference Customer Customer reference of the 16 max Reference instruction s to be found alphanum MITI Market Infrastructure Transaction 16 max Identifier of the instruction s to be alphanum found Matching Reference of the instruction s to be 16 max Reference found assigned by T2S after matching alphanum 83 Settlement Instructions Field Content by system Period Intended Settlement Date from to Effective Settlement Date from to Trade Date from to Criteria ISIN Auto Complete After input of the cou
200. strictions as to which combinations of Restr Type Balance From and Restr Type Balance To are permitted For details please refer to the Sett e ment Services Functional Guide and to the corresponding step by step descriptions for Blockings Reservations and Earmarking Edit Detail View The original position entered during creation The unique reference of the i securities position automatically assigned as soon as the intra position movement has been accepted by the system Intra Position Movements Field Content by system Restr Type Create Balance To Input request please select Mandatory field during Create Edit Detail View The designated position entered during creation Restr Type The unique reference of the Balance To securities position automatically Restriction assigned as soon as the intra position Reference movement has been accepted by the system Linkages 102 Entry by user NOTE see Linkages field description Selection from the list AWAS Deliverable Securities Position designation as available securities position BLOn Blocking designation as blocked securities position labelled in an intra position movement as Restr Type Balance To BLO n 0 9 RESn Reserved designation as reserved securities position labelled in an intra position movement as Restr Type Balance To RES n 0 9 EARn Earmarking designation as ear
201. structions Accepted to search only for instructions already accepted for processing by 12S Pending to search only for instructions for which T2S has returned status Pending Settled to search only for settled instructions Cancelled to search only for cancelled instructions Rejected to search only for instructions rejected by the system Selection from All open tasks User Selection approval task or User processing task By selecting All open tasks it is possible to search exclusively for all tasks not yet closed By selecting User approval task it is possible to search exclusively for tasks waiting for approval by a user By selecting User processing task it is possible to search exclusively for tasks with status Hold or Pending 4 2 6 3 T2S Status Criteria Screen Section Field Content by system Party Hold all Status The system searches for instructions with any Party Hold Status CSD Hold all Status The system searches for instructions with any Hold status set by the OeKB CSD 88 Entry by user Input Assist Selection between Hold or Released Selection By selecting Hold it is possible e g to search only for preadvice instructions Selection between Hold or Released Selection By selecting Hold it is possible to search exclusively for instructions set on status Hold by the OeKB CSD Settlement Instructions Content by system CSD Validation all Hold Status The system
202. t Free of Delivery Credit RFP Receive Free of Pay ment RVP Receive versus Pay ment RWP Receive with Payment PFD Payment Free of Delivery Debit Create OCSDATWWXXX Auto Complete After input of the first or two consecutive characters of the BIC the system suggests a list of BICs The complete list of all parties available in the system is displayed after putting the cursor into the field and hitting the arrow down key on the keyboard Edit The central securities depository selected during creation The designation of the selected depository CSD GmbH Entry by user Length Selection from all central securities BIC11 depositories available in the list Input of the first or two consecutive characters of the BIC then selection from the suggested list If ECSD is selected as the depository the Securities Account field NOTE in the section Receiving Delivering Party becomes a mandatory field 61 Settlement Instructions Field Instruction Type Content by system Receving Delivering Party BIC Receiving Party Mandatory field during Create or BIC Delivering Party Mandatory field during Create BIC Description 62 DFP Delivery Create Free of Pay Auto Complete After ment input of the first or two l consecutive characters A a T system versus Pay i suggests a list of BICs a The complete list of all DWP Delivery parties available
203. t Client FOP User 13 2 Settlement Client FOP Releaser 13 3 Settlement Client VP User 13 4 Settlement Client VP Releaser 13 5 Settlement Client Physical User 13 6 Settlement Client Physical Releaser 13 7 Settlement Client Read only 13 8 Settlement Client Administrator 13 9 Settlement Client Billing 14 Glossary 15 Index CSD GmbH 130 131 131 132 134 134 135 137 138 138 141 141 142 144 145 146 146 148 150 153 154 157 158 159 159 160 161 162 163 164 164 166 166 168 168 169 169 170 171 172 175 O Table of Figures Table of Figures Figure 1 Login Portal for Online Services of the OeKB Group Figure 2 List of Services available in the Login Portal of the OeKB Group Figure 3 Entry page Home of the Settlement Client Figure 4 Menu bar of the Settlement Client Figure 5 Menu structure of the Settlement Client Figure 6 Securities Accounts list Home Securities Accounts Figure 7 Securities Accounts list processing options Home Securities Accounts Figure 8 Securities Account Details securities account detail view Figure 9 Cash Account securities account detail view Figure 10 Figure 11 Figure 12 Figure 13 Figure 14 Figure 15 Figure 16 Figure 17 Figure 18 Figure 19 Figure 20 Figure 21 Figure 22 Figure 23 Figure 24 Figure 25 Figure 26 Figure 27 Figure 28 Figure 29 Figure 30 Figure 31 Figure 32 Figur
204. ta in the new fields You can close these hidden screen sections by clicking on the X icon on the upper right This will delete all additional data entered in the hidden section This icon indicates that you can specify which reason codes must be given in the selected Transaction Status Advice messages you like to receive Clicking on this icon opens a pop up dialog where you can activate or deacti vate the reason codes accordingly This icon indicates a drop down screen section where you can enter more information Clicking on this icon opens the drop down screen section The icon is displayed instead see below This icon indicates a dropped down screen section where you can enter more information Clicking on this icon hides the screen section Only the icon see above and the name of the screen section remain visible Clicking on this icon closes a previously added hidden screen section All data entered will be deleted and the screen section will no longer be visible Clicking on this icon deletes the row from the list and the data displayed in this row The Settlement Client Element Function Links T back TOP gt Usage All screens All screens All screens Search result lists Search result lists Search result lists Search result lists Search result lists Search result lists Entry page Securities Accounts list Search screens Search result lists top left of
205. ted with the instruction or restriction with which the new instruction Shall be linked MITI The T2S assigned Market Infrastructure Transaction Identifier associated with the instruction or restriction with which the new instruction shall be linked Sub Balance Reference The restriction reference associated with the restriction with which the new instruction shall be linked Pool ID The common reference used to identify all the instructions or restrictions in the same pool 70 Settlement Instructions CSD GmbH Field Instruction Type Content by system Entry by user Length Reference All The reference as determined by the 16 Mandatory field type of reference selected in the alphanum during Create Reference Type field Reference All BIC of the inputting party BIC11 Owner BIC Mandatory field during Create Reference All The designation of the s Owner BIC instructing party Description 71 Settlement Instructions 4 2 Search Settlement Instructions You can search for settlement instructions in order to modify or cancel them How to Open the Search Settlement Instructions Screen Step by Step Search Settlement Instructions Search Reference Period Intended Settlement Date i EE from Effective Settlement Date SY from Trade Datefrom id Criteria ISIN a Settlement Quantity from Settlement Amount from u Instruction Type all 7 Instructing Party BIC OEKOATWWHXX 7 O
206. ted it is possible to with any processing status search exclusively for intra position movements which have already been accepted by the system for processing By selecting Cancelled it is possible to search exclusively for cancelled intra position movements By selecting Rejected it is possible to search exclusively for intra position movements which have been rejected by the system Settlement all Selection from Unsettled Partially Selection Status The system searches for Settled or Settled intra position movements By selecting Unsettled it is possible to with any settlement status search exclusively for intra position movements for which the Intended Settlement Day has not yet arrived For details please refer to the Settlement Services Functional Guide By selecting Partially Settled it is possible to search exclusively for partially settled intra position move ments for which the Intended Settle ment Day has not yet arrived For details please refer to the Settlement Services Functional Guide 118 Physical Instructions CekBo CSD GmbH 6 Physical Instructions Processing of physical deposits or withdrawals of securities will be implemented in the system at a later date A description will then be added in the manual accordingly 119 Allegements 7 Allegements 7 1 Search Allegements You can search for allegements to instructions to identify counterparty instructions where the own instruction is
207. there is only one autho rised party the inputting party no entry is accepted in this field Selection from the securities accounts available for the securities account holder Selection from CHF EUR GBP USD RUB Selection from Settlement Clearing or Corporate Action By selecting Settlement it is possible e g to search exclusively for cash movements associated with settlement transactions By selecting Clearing it is possible e g to search exclusively for cash move ments associated with clearing transactions By selecting Corporate Action it is possible e g to search exclusively for cash movements associated with corporate actions CSD GmbH Input Assist Selection list after input of country code Selection list after input of the first or of two consecutive character s Selection Selection Selection alphanum alphanum 135 Holdings Field Content by system Entry by user Input Assist Length Date from to Date from one month Date range within which the settlement Calendar icon DD MM before the current date date of the securities posting item to YYYY Date to The current date Pe found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields INFO If the date range lies in the future the date considered is the int
208. thorisation according to the 4 eyes principle for the securities account 160 Four Eyes Principle CSD GmbH 10 1 2 Field Descriptions Edit Four Eyes Principle Field Sec Acc Number Sec Acc Number Description Field Intra Position Movement Physicals Create Erase RFP Receive Free of Payment Instructions RVP Receive versus Payment Instructions RWP Receive With Payment Instructions PFD Payment Free of Delivery Debit Instructions DFP Delivery Free of Payment Instructions DVP Delivery versus Payment Instructions DWP Delivery with Payment Instructions PFD Payment Free of Delivery Credit Instructions Description The complete securities account number starting with OCSD Designation of the securities account An Active Ticked Check Box Means M Newly created modified or cancelled intra position movements will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions for the physical deposit or withdrawal of securities will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly created modified or cancelled instructions for the increase or decrease of global certificates will be displayed in the Tasks waiting for approval section of the task box until they are approved by a second person Newly cre
209. ting Items see page 132 Display Securities Account Details see below 3 4 2 3 Securities AccountDetails You can use the icon E in the line of each securities account listed in the Securities Accounts overview of the entry page to open the detail view of the respective securities account which includes the display of all cash accounts defined for the securities account TIP The Securities Account Details display the securities account type any blockings active for the securities account and whether it is the default securities account for the settlement of securities transactions In addition it displays all cash accounts which have been defined for the securities account How to open the Securities Account Details Step by Step 1 In the Securities Accounts overview of the entry page Home click on the icon A pop up showing the available processing options appears 2 Select the option Display Securities Account Details The Securities Account Details screen appears 23 The Settlement Client Securities Account Details Party BIC Description Sec Acc Type Participant Sec Acc Number Description Opening Date 27 11 2014 Ea Closing Date E Sec Acc Category No constraints Hold Default Blocking Date from E Blocking Date to ES Blocking Reason Default Sec Account Partial Settlement Default Auto Receive Default Instr Format 15015022 MT Cash Accounts Cash Account Type Cash Account Number Currency
210. ting at which the securities account will be has become active The day starting at which the securities account will be has become inactive Possible securities account categories No constraints securities account without constraints Technically blocked the securities account is technically blocked and units held on this securities account cannot be accessed e g during certain corporate actions Receives blocked the securities account is blocked for receipt instructions Deliveries blocked the securities account is blocked for delivery instructions Deliveries and Receives blocked the securities account is blocked for delivery and receipt instructions Blocked Special Holding Type the securities account is blocked because it is used for holding positions in Individual Custody instructions are created for this securities account The day starting at which a block will be has become active for the securities account The last day a block will be has been active for the securities account Reason of the block valid between the dates specified in the Blocking Date fields If the check box is ticked the securities account is used as the default securities account As soon as e g an instruction is created the system automatically displays this securities account number in the Securities Account field of the screen 25 OQ If the check box is ticked the Party Hold Status will be automatically set to Hold if sett
211. tion Linkage Between Two Instructions Step by Step 1 In step 3 Additional Information of the Create Settlement Instruction screen open the drop down screen section Linkages To do so click on the Linkages function link see fig 26 The drop down screen section Linkages appears see fig 27 2 Click on the add button The pop up dialog Linkage appears see fig 28 3 In the field Linkage Type select the type of linkage After Before or With 4 Inthe field Reference Type select the type of reference Customer Reference or MITI 5 In the field Reference enter the corresponding customer reference or the Market Infrastructure Transaction Identifier MITI of the instruction or restriction with which you want to connect the newly created instruction 48 Settlement Instructions CSD GmbH 6 Click ok in the Linkage pop up dialog to return to the Create Settlement Instruction screen 7 Continue entering the Settlement Instruction 4 1 5 2 Entering Linkages Between Several Instructions Pool Linkage lt is possible to link several instructions which have to be settled concurrently To do so use the reference type Pool in the Linkages pop up dialog to create the linkage NOTE In the case of linkages with the Pool reference type instructions or restrictions with an identical pool refer ence are settled either all at once or none If one of the instructions or restrictions within a pool fails to be settled all other instructions an
212. tion types Free of Payment RFP Free of Pay and DFP ment DFP Delivery Free of Pay ment Settlement RVP Receive Create Selection from CHF EUR GBP Amount versus Pay EUR USD RUB Currency EUR men Edit Detail View i RWP Receive Mandatory field The currency selected with Payment during creation during Create automatically completed by the system 56 PFD Payment Free of Delivery Debit DVP Delivery versus Pay ment DWP Delivery with Payment PFD Payment Free of Delivery Credit Settlement Instructions CSD GmbH Field Instruction Type Content by system Entry by user Length RFP Receiye This field is not displayed for the two instruction types Free of Payment RFP Free of Pay and DFP ment DFP Delivery Free of Pay ment Settled RVP Receive Create i a Amount versus Pay acm Edit Detail View RE Receive 9 90 or in case of set with Payment tled instructions the PFD Payment settled cash value of Free of Delivery the instruction Debit DVP Delivery versus Pay ment DWP Delivery with Payment PFD Payment Free of Delivery Credit RFEP Receive This field is not displayed for the two instruction types Free of Payment RFP Free of Pay and DFP ment DFP Delivery Free of Pay ment Trade Date All Create Date of the trade date may be up to DD MM Mandatory field The current date 60 calendar days in the past YYY
213. tions Edit screens Create Edit and Review screens Search screens Review screens Edit screens and details views Pop up dialogs for confirmation of deletions AIl screens Create Settle ment Instruction screen also in its representa tion as Edit screen and detail view Create Settle ment Instruction screen also in its representa tion as Edit screen and detail view CSD GmbH Function Clicking on this button refreshes the screen and new real time data are displayed e g MITI Processing Status Reason Code etc Clicking on this button prevents the record to be released for settlement Clicking on this button moves the selected entry from the right to the left field Only entries in the right field will be used for performing the corresponding action Clicking on this button resets the content of all modified fields to its original values Clicking on this button saves your entries Clicking on this button launches the search using the search criteria you have entered Clicking on this button shows the updates to be released which have been performed on this record The edate _ button is displayed instead see above Clicking on this button closes the pop up dialog and confirms and saves the data modification Clicking on this icon opens the calendar In the calendar you can select a date which will automatically be copied into the corresponding field of the input screen
214. tnawenanduevioane 217 Intra Position Movement Confirmation cccceeeecees 223 Intra Position Movement Status AdVICE eeeecees 223 Modification Status AdVICE cccccccessecceceseceeeeeeeeees 222 MT544 MT545 MT546 MT547 sese 025 occse 222 MT548 sese 0 14 essssssessssssessesessssesseseseesessesessssesee 223 MT548 sese 015 Loe cccceccscceeceeccnscscescessenscescescensens 223 MT548 SCESC 024 ooo cecceccscceecceccnscescescessenscuscescensens 219 MT548 sese 027 co ccissiccsine cedeseuenandenstadwcsbsssendoxeradvesecsten 22 1 MT548 sese 03 f1 avsccecedeansdnswocvecusesavaienwpdeeuasxeuctiudwdevecees 222 MT548 5636 032 erpressen enna eee aiseee ees 218 MT5787 5636 020 aee aa 225 MI5787 5696 020 orere nere inea nena Te Eai 224 MIT5787 5096 02 9 Le mate mea e ne met ae Ee rao Se ee 224 rly IN proe A 214 Rule NaMe cssccasssasscenndeasdaaeousedcosdanscnsndcusdensoasadaasenisoesndoass 216 PU T cscs r A NA NAET 216 Secunlies ACCOUNT sieren 215 CSD GmbH Securities Settlement Transaction Generation Notification AEE A E EEN E AT T E E A E ET 218 Transaction Confirmation ccccccccsssssseececeesesseeseeeees 222 Transaction Status Advice ccccccccsssssesecceeeeeeeseeeeeees 219 Transaction Types cccccccccssssseeccccseeesseeeccceseeesesecees 217 Message Subscription RuleS ssssscsccssssesccccsssssesesosss 207 Message Subscription Menu item cccsssssssssseees 199 MITI
215. to the four eyes principle 13 8 Settlement Client Administrator Main Menu Home Screen Home Screen Administration Reporting 170 Menu Item Securities Accounts Overview Message Subscription Four Eyes Principle Reporting Permissions Link to Display Securities Account Details Link to Message Subscription Settings Link to Four Eyes Principle Settings Searching viewing and editing message subscription settings searching viewing and editing the settings for authorisation according to the four eyes principle Reporting functionalities User Roles and User Permissions CSD GmbH 13 9 Settlement Client Billing Main Menu Menu Item Permissions Home Screen Billing Billing Billing functionalities Glossary 14 Glossary List of Terms 4 eyes principle Button Cash account Detail View Dual control Edit screen Field Four Eyes Principle Function link History Icon Input Assist Input screen Instruction type Intra position movement 172 Explanation see Four Eyes Principle Rectangular field in the screens of the Settlement client in the form of a pushbutton Clicking on this field with the left mouse button triggers a certain program function Account for the transfer or receipt of payments screen in the Settlement Client where data are displayed but which does not allow these data to be modified by users see Four Eyes Principle screen in the Settlem
216. ton sssscsseseccsosssssssscccssseecsosossssssssessssesssos 16 arrow between horizontal lines ccccccsssssssccecceseees 20 arrow pointing down between horizontal lines 20 arrow pointing up with line ON top sssssssceeeeeeeees 20 arrow with double line ON top ssscccccsssssssscceeceseees 20 authorisation A EVES Principle cicusectosurereivsnndecsoeadesesesoisananiessoerwrauseies 226 Auto Receive field Securities Account Details screen ccccccceeessseeeeeeees 32 Auto Collateralisation field Cash Account pop up dialog ccccssssssesccccseesssseeeees 35 B back DUTTON sscnecariasnrna 17 back function link s ssissssisisessicnssosuserinninsosanesusessnasrisannnns 22 BIC Client of the Receiving Delivering Party Create Instruction screen essssssseesssssseeerossssseeeessssseee 83 BIC Delivering Party field Create Instruction screen esssssesseessssseeeessssseeceessssseee 80 BIC Depository of the Delivering Party field Create Instruction screen sessssseesesssssseeeessssseeeeessssseee 78 BIC Depository of the Receiving Party field Create Instruction screen sssssssseesssssseeersssssseeesssssseee 77 BIC Receiving Party field Create Instruction screen essssssseesssssseeeressssseeeessssseee 80 DINO ICOM PARN E E E 20 21 22 Blocking Date from field Securities Account Details screen ccccccc
217. truction ccccsessseeccceeeessseeeeees 22 green bullseye with tick cccccccsssssseeecceeeesssseeeeeeeees 19 DO causes eatacseemncencesteresdonssed cape otnteeee suns conestlesuapceasectess 19 lines with arrow pointing GOWN cccccccsssseeecceeeeeeeeeees 20 lines WIth Arrow POINTING UP seeeccccccccessesecceeeeeeeeeees 20 WS E EEA EEEE E E AE TE E AE 20 21 25 list with arrow pointing COWN ccccccccccesseeecceeeeaeeeeees 20 list with arrow pointing Ds ccsvnsivassvedesareusionwsreeersarranducaies 20 TE TN E TA E AAE A 20 magnifier with plus symbol and table rows 0000 21 GM PA EEE A E E E E E E E 20 21 pen with angle bracket ccccssssssecccccccessseeeccceseeeseees 22 DCT IC II ss cisnenancnanesanencecsatenateseniaaiesevencielevasuasetencnenees 20 21 plus and pen ncnccesesasaseorarsdenoveiccmseranadesenareaenoransdeneverdanseas 20 DOSTON S serer N EE EA E A EAR 21 REE EEEE EE E E E tenes 20 FOV S WHEN TOA MINGI oriri a EER 21 SO tO ST er A a O A OE NN 20 spreadsheet list cccisscdscssndasasiacevdansievndaceasebacgssaedevescens 21 25 Hek OUD O sames rsa ae Ei 20 TO ECS e A setseetesedesstacseeeetesecusente caee 20 Vertical DUNE POINTS siscavessersntereewavencwmmmarsaerrsermentannens 21 WHILE DUNS EVE recrearse enn 19 WETTED OM sy cinesuatetanrvunsatastorssiarscvostanaessansiersitnn ursetane 20 21 h are rete etc ei seein sae ea nena dete A ENE EREE 20 yellow DUIISEYE
218. truction Exactly these positions will then be used to settle the instruction For details on how to block and reserve positions please refer to Create Intra Position Movement Partial Set Additional Information amp Figure 24 Function link Use of Restrictions Create Settlement Instruction Additional Information 45 Settlement Instructions Use of Restrictions Restriction Type please select Restriction References add lt Pemove Figure 25 Restrictions for an Instruction drop down screen section 4 1 4 1 Assigning Restrictions blocked or reserved positions to an Instruction You can use certain positions to settle an instruction if they have been defined earlier NOTE Restrictions can only be used for an instruction if the necessary restrictions have been created in the form of intra position movements before For details see Create Intra Position Movements How to Assign a Blocked or Reserved Position to an Instruction Step by Step 1 In step 3 Additional Information of the Create Settlement Instruction screen open the drop down screen section Restrictions see fig 24 To do so click on the Use of Restrictions function link The drop down screen section Use of Restrictions appears see fig 25 2 Inthe field Restriction Type select the type of restriction The field Restriction References left hand lists the references of all restriction of the selected type previously entered 3 C
219. tus Criteria search Settlement Instructions T2S Status Criteria search Settlement Instructions Pending Reason Codes pop up screen Search Settlement Instructions Settlement Parties search Settlement Instructions More Criteria search Settlement Instructions search result list example edit Edit Settlement Instruction Instruction Details example RFP Edit Settlement Instruction Parties Edit Settlement Instruction Additional Information Search Settlement Instructions search result list example cancel Confirm cancellation settlement instruction 12 13 20 21 21 22 22 24 24 27 27 28 29 30 32 34 34 35 35 38 41 43 45 45 46 47 47 48 72 73 73 74 74 75 76 76 77 7 80 80 Table of Figures CSD GmbH Figure 41 Instruction History 82 Figure 42 Instruction History Message Detail 82 Figure 43 Status History Settlement Instruction 83 Figure 44 Create Intra Position Movement 92 Figure 45 Create Intra Position Movement Summary after saving 94 Figure 46 Search Intra Position Movements 103 Figure 47 Search Intra Position Movements OeKB CSD Status Criteria 103 Figure 48 Search Intra Position Movements T2S Status Criteria 104 Figure 49 Search Intra Position Movement search result list 104 Figure 50 Edit Intra Position Movement 105 Figure 51 Instruction History intra position movement 111 Figure 52 Instruction History intra position movement message detail 112 Fig
220. ucting Party BIC inputting party Securities Account all Instruction Status all Task Type all Party Hold Status all CSD Hold Status all CSD Validation Hold Status all CoSD Hold Status all Processing Status all Pending Reason Codes all Match Status all Priority all Partial Settlement Ind all 2 Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all instructions matching your search criteria appears 4 You have the following options a1 In the row of the record you want to modify click on the Details icon to open the detail view a2 Click edit to open the Edit screen of the record INFO The system only displays the edit button if your user permissions allow you to modify data 78 Settlement Instructions CSD GmbH b In the row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions allow you to modify data 5 Modify the record as required NOTE Depending on the processing status and the instruction type some fields may be disabled TIP In case of instructions not yet settled the system displays the type of error and the reason why settlement has failed at the top left and the bottom left of the screen respective
221. und shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Selection list after input of country code ISIN of the allegement s to be found Country code then selection from the suggested list alphanum 16 max alphanum DD MM YYYY DD MM YYYY 12 alphanum Trade Date from to Criteria ISIN Auto Complete After input of the country code the system suggests a list of ISIN ISIN The designation of the Description financial instrument 123 Allegements Field Content by system Entry by user Input Assist Length Settlement Value range within which the quantity positive Quantity from or nominal value of the financial instru decimal to ment in the allegement s to be found number shall lie If you leave one of the fields empty the system will search starting from or ending with the value that has been entered If you are searching for a specific quan tity enter the same value into both fields Quantity Type After ISIN input or z E selection FAMT for financial instruments with a price as percentage of par face amount UNIT for financial instruments with a price per unit Settlement Value range within which the positive Amount from corresponding cash value of the decimal to allegement
222. ure 53 Status History Intra Position Movement 112 Figure 54 Search Allegements 120 Figure 55 Search Allegements OeKB CSD Status Criteria 121 Figure 56 Search Allegements Settlement Parties 121 Figure 57 Search Allegements search result list 121 Figure 58 Securities Positions 128 Figure 59 Securities Positions search result list 128 Figure 60 Securities Positions links to subbalances 129 Figure 61 Securities Positions subbalances pop up dialog 129 Figure 62 Securities Posting Items 133 Figure 63 Securities Posting Items search result list 133 Figure 64 Search Cash Preview 137 Figure 65 Search Cash Preview search result list 137 Figure 66 Search Message Subscription 141 Figure 67 Search Message Subscription Open Message Types 142 Figure 68 Search Message Subscription search result list 142 Figure 69 Edit Message Subscription 143 Figure 70 Subscription Rules List example edit 146 Figure 71 Message Subscription Rule example edit Settlement Instruction Rule 147 Figure 72 Subscription Rules List example delete 148 Figure 73 Confirm deletion Message Subscription Rule 149 Figure 74 Message Subscription Rule Settlement Instruction 150 Figure 75 Transaction Status Advices Reason Codes example cancelled 151 Figure 76 Message Subscription Rule Intra Position Management 151 Figure 77 Message Subscription Rule Allegement 152 Figure 78 Four Eyes Principle 159 Figure 79 Four Eyes Principle
223. us Payment or RFP Receive Free of Payment Instruction to flag securities positions for a specific purpose Glossary List of Terms Linkage List Login Logout Menu Message History Record Save Screen Search result list Services Settlement Client Settlement instruction Step Summary screen CSD GmbH Explanation Relation between two or more instructions or restrictions determining their processing sequence defining instructions or restrictions that have to be processed simultaneously pool or informing of specific details Unit of the Settlement Client user interface which displays data in the form of a table For example lists are filled with the appropriate data after a search was performed The lists display data in a predefined layout Registration of a user at a software application For this purpose user data are en tered which identify the user within the system A successful login is the prerequisite for working with the Settlement Client Users log on in the Login Portal for IT Services of OeKB and OeKB CSD GmbH Exiting of a user from a software application Users log out from the Settlement Client by closing the browser window This ends the current user session with the system A new login is possible in the Login Portal for IT Services of OeKB and OeKB CSD GmbH The main menu of the Settlement Client contains all available program functions in the form of menu items grouped in
224. ving party first before you enter additional delivering parties Edit 59 Settlement Instructions Field Instruction Type Content by system Entry by user Length Add Receiving RFP Receive BIC Depository of the Create Party Free of Pay Receiving Party de Additional Receiving Party as re ment pository of the inputting quired Clicking on the link opens participant llowi RVP Receive 7 the fo owing screen sections in BIC Securities consecutive order versus Pay n Account Receiving ae ment Depository of the Receiving Party BIC and secu Party RWP Receive _ rities account of the with Payment inputting participant Receiving Party PFD Payment Client of the Receiving Party Free of Delivery see field descriptions Client of Debit the Receiving Delivering Party below Receiving Party 3 Receiving Party 4 Receiving Party 5 A maximum of 5 participants can be entered NOTE Enter the delivering party first before you enter additional receiving parties Edit 60 Settlement Instructions Field Instruction Type Content by system Depository of the Receiving Delivering Party BIC Depository of the Receiving Party Mandatory field during Create or BIC Depository of the Delivering Party Mandatory field during Create BIC Description DFP Delivery Free of Pay ment DVP Delivery versus Pay ment DWP Delivery with Payment PFD Paymen
225. w to Earmark a Securities Position Step by Step 1 In the menu bar select Settlement gt Create Intra Position Movement The Create Intra Position Movement screen appears The system automatically inserts the appropriate predefined values into the fields Instructing Party BIC inputting party incl Description Securities Account default securities account of the inputting party incl Description INFO The field Securities Account additionally displays the BIC of the securities ac count holder Settlement Quantity 0 000 Intended Settlement Date current date NOTE Remember to verify all the fields automatically completed by the system to make sure all details have been entered correctly INFO If you do not enter your own reference in the optional Customer Reference field the system will automatically generate a unique reference for identification of the intra position movement 2 Inthe field ISIN enter the desired financial instrument In the field Description the system automatically completes the details stored for the selected financial instrument and in the field Quantity Type the type of listing TIP There is an auto complete function available in the ISIN field You need only enter the country code the system will then suggest a list of available ISIN 3 In the field Settlement Quantity enter the desired quantity or nominal value greater than 0 INFO The system automatically fills in the cur
226. w to work more easily with the Settlement Client or point out anything that you must take care of when using a certain function About the Manual CSD GmbH 2 2 2 Information Boxes INFO Information boxes contain explanations on how the Settlement Client works or background information 2 2 3 Notes Boxes NOTE Notes boxes contain warnings about possible errors indicate mandatory entries or describe system limitations of the Settlement Client 2 2 4 Step by Step Instructions Step by step instructions guide you through the described procedure in the Settlement Client and lead to the desired result in individual steps The steps are listed individually in the form of a numbered list How to proceed to get this result Step by Step 1 Perform step 1 2 You have the following options a For option a proceed like this b For option b proceed like this 3 Perform step 3 2 2 5 Typographic Conventions The following table indicates how different types of information are displayed in the user documentation These conventions facilitate reading and highlight information of particular importance Type of Representation Information Menu paths In italics starting at the main menu entry and using the symbol gt between all menu items Example Settlement gt Create Settlement Instruction Menu items In italics Example the Settlement menu GUI elements In boldface Example the Save button the Create Settlement Instruction screen Cross
227. wing options no no no no no no no no no no a Use the scroll bar at the bottom of your browser window to scroll to the columns further right gt 9X D AX 35 The Settlement Client b Use the scroll bar at the bottom of your browser to move the display all the way across to the right to use the processing options available for the individual records in each row detail view edit delete X 3 Click on the X icon on the top right of the search result list Close extended search results The regular view of the search result list appears again 36 Settlement Instructions CSD GmbH 4 Settlement Instructions Via the menu item Settlement you can create new instructions search for specific instructions in the system and edit or cancel existing settlement instructions 4 1 Create Settlement Instruction How to Open the Create Settlement Instruction Screen Step by Step 1 In the menu bar select Settlement gt Create Settlement Instruction The Create Settlement Instruction screen appears Creating a new settlement instruction takes 3 steps The Settlement Client consecutively takes you through the entry of a Instruction Details Settlement Parties and Additional Information After each step clicking on the next button or on the next step shown in the screen s header and footer see Icons takes you to the next input screen where you can enter more data for the instruction
228. xes e g to select message types Clicking on this icon extends the search result list to show all columns available for the current type of record Clicking on this icon opens the Create Settlement Instruction screen where a counter instruction is automatically generated for the selected allegement This icon indicates a link which you can use to return to the previously displayed search result list This icon at the bottom of screens indicates a link which takes you back to the top of the page The Settlement Client 3 4 The Entry Page Home The entry page of the Settlement Client shows the menu bar of the Settlement Client with all available functions the Securities Accounts list including the actions available for the securities account the Task Box showing instructions waiting for approval open tasks and recent instruction alerts and the telephone and fax numbers as well as the email address where you can reach our service centre in charge I www oekb at Tia Logged in CekBe CSD GmbH Testsystem Settlement Services fm Home v Settlement Holdings Administration i Welcome to the Settlement Client of OeKB CSD gt Home Search for ISIN Securities Accounts fo select Party BIC Sec Acc Number Description OEKOATWWXXX OCSD1111111 t Contacts Accounts amp Settlement Service OEKOATWWXXX OCSD1111112 Center 243 1 53127 202 OEKOATWWXXX OCSD1111117 Sen eee nee B 43 1 53127 4020 a settl
229. y Legal Notice Figure 2 List of Services available in the Login Portal of the OeKB Group INFO The Settlement Client is optimised for Internet Explorer and Mozilla Firefox in their latest versions It is not recommended to use other browsers 3 2 Logout To log out from the Settlement Client simply close the browser window This logs off your user and terminates your user session 13 The Settlement Client 3 3 Fields Buttons and Icons INFO Mandatory fields are marked with the character in the Settlement Client They must be filled with data before the record can be saved All fields in the following table may be mandatory fields TIP For details on the matching process such as e g mandatory additional and optional matching fields or matching tolerances please refer to the Settlement Services Functional Guide Element Usage Fields Input field active All screens field a Display field All screens disabled field Number field All screens ISIN field All screens ATOO00 2 0008 Date field All screens 08 09 2014 Function Input fields are active fields which you can fill with data Depending on the field type they allow the input of text numbers dates or times Display fields are disabled for input They are displayed with a grey back ground You cannot enter data into a display field Only the following characters are allowed in number fields The figures O to 9 Dots as thousands separators
230. y BIC H Securities Account i Instruction Format Destination BIC i Branch 15015022 MT Figure 68 Search Message Subscription search result list 142 Message Subscription Edit Message Subscription Message Subscription Party BIC Securities Account Instruction Format T25 Account Number Subscription Rules Rule Name All Messages Rule Default All Messages Rule Default All Messages Rule Default CSD GmbH OEKOATWWXXX Description Oesterreichische Kontrollbank 0CSD1111111 Destination BIC OEKOATWWXKX T Rule Type Instructing Party BlCs Settlement Instruction DOEKOATWWHAX _ x Intra Position Movement OEKOATWWHXX _ x Allegement PX add Figure 69 Edit Message Subscription How to Modify a Mess age Subscription Step by Step 1 In the menu bar select Administration gt Message Subscriptions The Search Message Subscription screen appears The system automatically inserts the appropriate predefined values into the fields Party BIC inputting party Securities Account all 2 Enter the desired search criteria in the available fields or limit the selections in the fields completed by the system 3 Click on the search button The search result list containing all message subscriptions matching your search criteria appears 4 In the row of the record you want to modify click on the Edit icon to open the Edit screen INFO The system only displays the Edit icon if your user permissions al
231. y available in detail views if your user permissions allow you to modify records Clicking on this button downloads the data in Microsoft Excel format You can choose the download location in an intermediate step Clicking on this button downloads the data in PDF format You can choose the download location in an intermediate step Clicking on this button opens the Edit screen where you can modify the record This button is only available in detail views if your user permissions allow you to modify records Clicking on this button downloads the data in Microsoft Excel format You can choose the download location in an intermediate step Clicking onthis button displays the original record as it was before the mod ifycation to be released The 500 uesats below button is displayed instead see Clicking on this button takes you to the next step of the screen See also below Clicking on this button closes the pop up dialog without confirming or saving the modified data Clicking on this button confirms your entries and closes the current screen Clicking on this button downloads the data in PDF format You can choose the download location in an intermediate step details views The Settlement Client Element refresh remove show update Icons Usage Settlement Instruction Summary Review screens Edit screens and details views Review masks Masks mask sections which allow multiple selec
232. yes Principle screen ssssssececccsessseeecceeeees 228 pl s ICON With DEN csaissi cists scctetisiceencteekeraviaeneee 20 DOSITIONS a en ES 181 POSIIONS ICOM sein cscesnsscesavese tslcvunncdsecersedvevevecseadensedscson sdnebeves 21 p sting items a ciscsssnecs ccecactesnncskcdsancandscesecatoaeeesstscanedecteess 187 Priority field Create Instruction screen cssssseecccccceesseeeccceseeessees 88 Create Intra Position Movement screen sssseeeees 138 Search Instruction screen csesscscccccceesssssecceeeeeseees 124 Processing Status field Search Instruction screen ccesssccccccceesssececceeeeesees 121 Search Intra Position Movements SCreen 000ee 164 186 Proprietary Identification field Create Instruction Screen cccccceesecccceesseccceesececeenees 85 Proprietary Issuer field Create Instruction screen ccccceesecccceesecccceeseceeeenees 85 Proprietary Scheme Name field Create Instruction screen ccccceesscccceesecccceescceeeeeees 86 Purpose field Cash PreviW SCION ccccccsssscccccesseccceeesecceeeeseceeeees 196 Securities Posting Items SCreeN scesceeccceceeeeeeees 191 Q Quantity Type field Create Instruction screen ccccceesecccceessccceeeeseceeeenees 68 Create Intra Position Movement screen 00cceeees 136 Search Allegements screen ccccccccsssssseecceeeeees

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